The full text on this page is automatically extracted from the file linked above and may contain errors and inconsistencies.
Troubled Asset Relief Program (TARP)
Monthly Report to Congress – July 2012
August 10, 2012
This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilization Act of 2008.
Table of Contents
Monthly 105(a) Report
July 2012
Section
Page
Highlights………………………....………………………………………………………………………………………………………………..
1
Where are the TARP Funds?.....………………………………………………………………………………………………………………..
1
Daily TARP Update
2
Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
4
Program Updates…………………….…………………………………………………………………………………………………..............
6
Bank Support Programs…………………….…………………………………………………………………………………………………...
6
Capital Purchase Program
Credit Market Programs…………………….…………………………………………………………………………………………………...
Legacy Securities Public-Private Investment Program
6
17
17
Investment in American International Group, Inc. ………..………………………………………………………………………………..
18
Housing Programs………………………………………………………………………………………………………………………………..
19
Appendix – Financial Statements….…………………………………………………………………………………………………………..
23
More information is available at http://www.treasury.gov/initiatives/financial-stability.
Where are the TARP Funds?
Monthly 105(a) Report
July 2012
The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). More
than three and a half years after the establishment of the TARP, we are making substantial progress in winding down the extraordinary
assistance that had to be provided during the crisis. Treasury has moved quickly to reduce the dependence of the financial system on
emergency assistance and replace public support with private capital. To date, taxpayers have recovered almost $265 billion from TARP’s
bank programs through repayments, dividends, interest, and other income – approximately $20 billion more than the $245 billion invested
in banks.
By any objective standards, the Troubled Asset Relief Program has worked: it helped stop widespread financial panic, it helped prevent
what could have been a devastating collapse of our financial system, and it did so at a cost that is far less than what most people expected
at the time the law was passed.
Highlights
Earlier this week, Treasury sold approximately 188.5 million shares of its American International Group, Inc. (AIG) common stock at $30.50
per share for aggregate proceeds of approximately $5.75 billion 1. The sale reduced Treasury’s remaining investment in AIG to $24.2
billion, consisting of approximately 871.1 million shares of common stock (approximately 574.8 million TARP shares and 296.3 million nonTARP shares), representing approximately 53 percent of AIG’s outstanding shares of common stock. During the financial crisis, overall
support for AIG through Treasury and the Federal Reserve totaled approximately $182 billion. After this offering, the remaining Treasury
investment of approximately $24.2 billion represents a nearly 87 percent reduction from the original $182 billion combined government
commitment.
Where are the TARP Funds? 2
This report contains two charts that provide a complete picture of how TARP funds have been used, the extent to which they have been
returned, and how much the program will cost.
Figure 1: Daily TARP Update (DTU)
The first chart shows for each TARP program the amount of funds obligated, the amount disbursed, repayments, income received and
any losses. Thus, a reader can quickly see how much cash was disbursed under a particular program and how much cash has come
back to Treasury. These amounts do not represent lifetime cost estimates, which are shown in the next chart. The Daily Tarp Update
(DTU) is updated after every business day and is available at: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/dailytarp-reports.aspx.
Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
The second chart provides for each program within TARP the amount obligated, the amount disbursed, the outstanding balance, and
the estimated lifetime cost. Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the
taxpayer. Estimated lifetime cost is calculated quarterly in conjunction with the Office of Management and Budget. Because some of
the TARP investments are in publicly traded securities, we also provide additional information to help readers know the current value of
1
2
Because this sale took place after the end of the reporting period, the proceeds are not reflected in Figures 1 & 2.
Numbers in text and tables in this report may not add because of rounding.
1
Daily TARP Update
Daily TARP Update
Monthly 105(a) Report
July 2012
those investments. This chart also shows the estimated lifetime cost of the additional investment by Treasury in AIG separate and apart
from the TARP investment.
This chart utilizes the methodology that TARP has consistently used to estimate lifetime costs including the requirement to use a
discount rate that reflects market risk as required by EESA for future cash flows. Over time, market conditions and the performance of
specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to government budgeting
guidance and includes investments and other disbursements expected to be made in the future. It also includes assumptions regarding
future events, which are inherently uncertain. These estimates do not necessarily reflect official Administration budgetary estimates of
the deficit impact of TARP and may differ from the official estimates presented in the President’s Budget, the Midsession Review of the
Budget, and the report required in 2013 under Section 134 of EESA.
Figure 1: Daily TARP Update for August 1, 2012 (through July 31, 2012)
Principal/Investment
(*Dollars in Billions*)
Obligated
Disbursed
Refinancing to
SBLF1
Repayments
Income/Revenue
CPP Exchanges Into
CDCI2
Write-offs &
Realized Losses
Outstanding
Dividends
Other Income
(Expenses)5
4
3
3
Warrants Sold
Interest
6
Total Income
Total Cash Back
Bank Support Programs
Capital Purchase Program (CPP)
Banks with Assets $10 Billion or Greater
$
165.33
$
165.33
$
158.44
$
-
$
-
$
2.56
$
4.33
$
9.29
$
-
$
7.44
$
(0.00) $
16.73
$
Banks with Assets Less Than $10 Billion
$
14.57
$
14.57
$
7.57
$
2.21
$
0.36
$
0.23
$
6.41
$
1.46
$
-
$
0.20
$
(0.01) $
1.66
$
9.23
7
$
25.00
$
25.00 $
25.00
$
-
$
-
$
-
$
0.93
$
-
$
0.05
$
6.85
$
7.84
$
32.84
Bank Of America
$
20.00
$
20.00 $
20.00
$
-
$
-
$
1.44
$
-
$
1.24
$
-
$
2.67
$
22.67
Citigroup
$
20.00
$
20.00 $
20.00
$
-
$
-
$
1.57
$
-
$
0.19
$
-
$
1.76
$
21.76
0.28
Citigroup Common
175.17
Targeted Investment Program (TIP)
Asset Guarantee Program (AGP)
Bank Of America
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
0.28
$
0.28
$
Citigroup
$
5.00
$
-
$
-
$
-
$
-
$
0.44
$
-
$
0.07
$
2.25
$
2.76
$
$
0.57
$
0.21
$
0.00
$
-
$
0.57
$
0.02
$
-
$
-
$
-
$
0.02
$
0.02
$
250.46
$
245.10
$
231.01
$
2.79
$
11.31
$
15.15
$
-
$
9.36
$
33.71
$
264.72
Community Development Capital Initiative (CDCI)
Bank Program Totals
(0.36) $
-
$
9.19 $
2.76
Credit Market Programs
Public-Private Investment Program (PPIP)
Equity
8
$
7.51
$
6.25
$
1.57
$
-
$
4.67
$
0.73
$
-
$
-
$
0.08
$
0.81
$
2.39
$
14.35
$
12.24
$
4.28
$
-
$
7.96
$
-
$
0.29
$
-
$
-
$
0.29
$
4.57
Term Asset Backed Securities Lending Facility
$
1.40
$
0.10
$
-
$
-
$
0.10
$
-
$
-
$
-
$
-
$
-
$
-
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.36
$
-
$
0.00
$
-
$
0.01
$
-
$
0.00
$
0.01
$
0.38
$
23.62
$
18.96 $
6.22
$
-
$
12.74
$
0.73 $
0.30
$
-
$
0.08 $
1.11
$
7.33
Common
$
47.54
$
47.54 $
11.58
$
5.52 $
30.44
$
-
$
-
$
-
$
-
$
-
$
11.58
Preferred
$
20.29
$
20.29 $
20.29
$
-
$
-
$
0.64
$
-
$
-
$
0.29
$
0.93
$
21.23
$
67.84
$
67.84
$
31.87
$
5.52
$
30.44
$
0.64
$
-
$
-
$
0.29 $
0.93
$
32.81
23.20
$
4.34 $
23.49
$
-
$
0.77
$
-
$
(0.00) $
9.44
$
2.93
-
$
-
$
1.19
$
-
$
$
Debt
Credit Market Program Totals
Other Programs
9
American International Group (AIG)
AIG Totals
Automotive Industry Financing Program (AIFP)
GM
10
$
51.03
$
51.03 $
Chrysler
$
12.37
$
12.37
$
Ally (GMAC)
$
16.29
$
16.29
$
2.54
$
0.00 $
13.75
$
2.87
-
$
-
$
79.69
$
79.69
$
35.18
$
7.26
$
37.24
$
2.87 $
1.95
$
-
$
147.53
$
147.53
$
67.06
$
12.79
$
67.68
$
3.51 $
1.95
$
-
$
Making Homes Affordable
$
29.88
$
3.59
HFA Hardest-Hit Fund
$
7.60
$
1.14
$
8.12
$
0.06
Housing Totals
$
45.60
$
4.79
TARP Totals
$
467.21
$
416.38
$
304.29
$
15.58
$
91.73
$
19.40 $
AIFP Totals
Other Programs Totals
$
0.76
$
23.97
1.69
$
11.13
$
3.00
$
5.54
0.62 $
5.45
$
40.63
6.38
$
73.44
0.50
$
$
0.13
$
0.92 $
Treasury Housing Programs Under TARP
11
FHA Refinance
$
-
2.25 $
9.19
$
10.36
$
41.20
$
345.49
$
5.97
$
5.97
$
5.97
$
16.33
$
47.17
$
351.46
Additional Treasury Holdings
Additional AIG Common Shares Held by Treasury9
Total for TARP Programs and Additional AIG Shares
$
467.21
$
416.38
$
304.29
$
-
$
15.58
$
91.73
$
19.40 $
2.25 $
9.19
2
Daily TARP Update
Monthly 105(a) Report
July 2012
Notes to Daily TARP Update
1/ This row represents the portion of CPP repayments that were received from refinancing to the Small Business Lending Fund (SBLF),
which is not a TARP program. The law creating the SBLF provided that banks could refinance securities issued under the CPP and
CDCI programs with securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of
$2.21 billion in CPP investments. This amount is included in total repayments and therefore, this column is not used to calculate the
"Outstanding" amount.
2/ This column represents non-cash exchanges out of CPP into CDCI. A total of 28 CPP banks, representing $355.7 million, converted
from CPP to CDCI. The total amount exchanged into CDCI, with converted warrants, was $363.3 million.
3/ For equity programs, all dividend and interest payments are classified in the “Dividends” category. For direct loan programs, all
dividend and interest payments are classified in the “Interest” category. These classifications are consistent with the accounting
treatment used to produce OFS’ financial statements.
4/ Amount of "Warrants Sold" reflects net cash receipts.
5/ "Other Income (Expenses)" includes gains on sales, investment income, fees collected, and disposition expenses. "Other Income
(Expenses)" does not include the Citigroup AGP receivable for up to $800 million in trust preferred securities from the Federal Deposit
Insurance Corporation (FDIC).
6/ This column represents the sum of repayments plus income/revenue. All returned TARP funds are paid into the general fund of the
Treasury for the reduction of the public debt. These amounts do not represent lifetime cost estimates, which are detailed in Figure 2.
7/ Citigroup CPP investment was originally in the form of preferred shares and was converted to common stock in September 2009.
8/ Allocation of Public-Private Investment Program (PPIP) Equity receipts between repayments and income are subject to reclassification.
9/ Treasury’s investment in AIG common shares consists of shares acquired in exchange for preferred stock purchased with TARP funds
(TARP shares) and shares received from the trust created by the FRBNY for the benefit of Treasury as a result of its loan to AIG (nonTARP shares). Treasury manages the TARP shares and non-TARP shares together, and disposes of them pro-rata in proportion to its
holdings. Only the TARP shares are included under “Other Programs—AIG” and the "Write-offs & Realized Losses" column shows a
loss based on Treasury’s cost basis of $43.53 in the TARP shares alone. The non-TARP shares are shown at the bottom of the page
after the TARP Total under "Additional AIG Common Shares Held by Treasury." A gain in the "Other Income (Expenses)" column is
shown for the non-TARP shares because Treasury’s cost basis in such shares is deemed to be zero. When the TARP shares and nonTARP shares are considered together, Treasury’s cost on a cash basis is $28.73 per share. Before giving effect to Treasury’s August
2012 public offering described on page 18, Treasury held a total of 1.06 billion AIG common shares, consisting of 699,247,745 TARP
shares and 360,369,076 non-TARP shares.
10/ Treasury’s investment in GM was originally made primarily in the form of loans, some of which were subsequently converted into
common and preferred stock. Treasury currently holds only common stock. The realized loss reflects the difference between the price
at which Treasury sold common shares in GM’s initial public offering and the Treasury’s cost basis ($43.52 per common share) for such
shares. Treasury currently holds 500,065,254 in remaining shares of GM common stock.
11/Treasury has entered into a letter of credit (L/C) to fund the FHA Short Refinance Program. Pursuant to this L/C, a reserve account has
been pre-funded with $50 million in funds for any future loss claim payments. Treasury will be reimbursed for all unused amounts from
this account. As of the date hereof, no disbursements for loss claim payments under the FHA Short Refinance Program have been
made.
3
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
July 2012
Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Obligation/
Commitment
(dollar amounts in billions)
Bank Support Programs:
Disbursed as of
July 31
Outstanding
Investment
Balance as of
July 31
$
Programs
as of July 31, 2012
$
$
Estimated
Lifetime Cost as
of
May 311 2
Capital Purchase Program (CPP):
Citigroup
Banks with assets less than $10 billion
Total
$
(6.89)
165.33
4.33
$
(10.64)
14.57
3
0.00
165.33
Other banks with assets $10 billion or greater
25.00
25.00
14.57
6.41
2.96
$
204.89
$
204.89
$
10.74
$
(14.57)
$
40.00
$
40.00
$
0.00
$
(4.00)
$
5.00
$
0.00
$
0.00
$
(3.71)
$
0.57
$
0.57
$
0.57
$
0.11
$
7.51
14.35
$
6.25
12.24
$
4.67
7.96
$
(2.90)
(0.28)
Total
$
21.86
$
18.49
$
12.63
$
(3.18)
Term Asset Backed Securities Lending Facility (TALF)
$
1.40
$
0.10
$
0.10
$
(0.49)
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.00
$
(0.00)
$
20.29
47.54
$
20.29
47.54
$
30.44
$
18.68
Total
$
67.84
$
67.84
$
30.44
$
18.68
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
37.24
$
25.05
Sub-total for Investment Programs
$
421.61
$
411.59
$
91.73
$
17.88
Treasury Housing Programs Under TARP
$
45.60
$
4.79
$
-
$
45.60
$
467.22
$
416.38
$
91.73
$
63.49
Targeted Investment Program (TIP)
4
Asset Guarantee Program (AGP)
Community Development Capital Initiative (CDCI)
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Debt
Other Programs:
American International Group (AIG):
Preferred Stock
Common Stock
Total for TARP Programs
5
Total for TARP Programs and Additional AIG Shares
$
467.22
$
416.38
(15.74)
n/a
n/a
n/a
Additional AIG Common Shares Held by Treasury
$
91.73
$
47.75
4
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
July 2012
Notes to Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget:
1/ Lifetime cost information is as of May 31, 2012.
2/ Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and Budget.
The value of outstanding investments in publicly-traded securities is calculated by using the aggregate value of the investments at
market prices as of May 31, 2012. The following common stock value information is provided for the convenience of the reader to show
the increase or decrease in aggregate value of the shares outstanding as of July 31, 2012.
Outstanding Investment
AIG Common Stock
GM Common Stock
Additional AIG Common Shares
05/31/2012
Market Value
$
$
$
20.40
11.10
10.52
07/31/2012
Market Value
In billions
$
21.87
$
9.86
$
11.27
Increase (Decrease)
in Cost
$
$
$
(1.47)
1.24
(0.75)
Note: For the period ending May 31, 2012, the share price for AIG was $29.18 and for GM was $22.20. For the period ending July 31,
2012, the share price for AIG was $31.27 and for GM was $19.71.
3/ The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issued under the CPP and
CDCI programs with securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of
$2.21 billion in CPP investments.
4/ Estimated lifetime costs for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value
received from the announcement of the negotiations on the guarantee and share losses on a pool of assets.
5/ As discussed in note 9 to the Daily TARP Update, Treasury’s investment in AIG common shares consists of shares acquired in
exchange for preferred stock purchased with TARP funds (TARP shares) and shares received from the trust created by the FRBNY for
the benefit of Treasury as a result of its loan to AIG (non-TARP shares). Treasury manages the TARP shares and non-TARP shares
together, and disposes of them pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG”
and the lifetime cost estimate shows a loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the
non-TARP shares in the line entitled “Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares
is deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a cash basis is
$28.73 per share. TARP estimates include financing costs (borrowing) from the time of initial investment through the reporting period.
5
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Program Updates
Bank Support Programs
In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. A total of $245 billion was
invested in banking institutions, and as of March 31, 2011, Treasury had recovered more than 100% of that amount through repayments,
dividends, interest, and other income. Treasury continues to recover additional funds and estimates that the bank programs will result in a
lifetime positive return for taxpayers of more than $20 billion (see Figure 2).
Capital Purchase Program (CPP)
Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capital to viable banks of all
sizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program inception. Every additional
dollar recovered from CPP participants represents a positive return for taxpayers.
In June 2012, Treasury sent a letter to approximately 200 community banks whose CPP investments remain outstanding. The letter
informed them that Treasury is considering including its investment in one of a series of pooled auctions to begin this fall. The pooled
auctions will be another important part of winding down the CPP. For more information on how Treasury intends to wind down its remaining
bank investments under the Capital Purchase Program see: http://www.treasury.gov/connect/blog/Pages/Winding-Down-TARPs-BankPrograms.aspx.
Figure 3:
Capital Purchase Program Snapshot as of July 31, 2012
Amount Invested:
Largest Investment:
Smallest Investment:
CPP Cumulative Investments
$204.9 billion
$25 billion
$301,000.00
CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
Total Institutions Funded:
707
Full Repayments:
168
SBLF Repayments:
137
CDCI Conversions:
28
Partial Repayments:
19
Sold Investments:
44
In Bankruptcy/Receivership:
18
Merged Institutions:
3
1
Currently in Common
5
Total Remaining Institutions:
309
CPP Income to Treasury
Total Amount of Repayments2:
$191.59 billion
Total Dividends, Interest, & Fee Income:
$11.69 billion
July Dividends and Interest:
$6.56 million
Citigroup Gain:
$6.85 billion
Total Warrant Income3:
$7.71 billion
Total CPP Income:
$217.85 billion
6
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Notes to Capital Purchase Program Snapshot as of July 31, 2012:
1/ Institutions where Treasury has converted its original investment at a discount, into shares of common stock in the institution.
2/ Includes repayment of $25 billion from completed Citigroup common stock conversion, $335.7 million from CDCI conversions and
$2.2 billion from SBLF refinancings. Also see footnote 3 on page 5.
3/ Net proceeds; includes proceeds from exercised warrants.
Repayments
In July, five institutions repurchased all or part of their outstanding CPP preferred shares or subordinated debentures from Treasury’s
investments in those institutions for total proceeds of $90.5 million.
•
United Bank Corporation; Community Bancshares of Kansas, Inc; and Fremont Bancorporation repaid all of the outstanding CPP
investment in those institutions for a total of $49.9 million.
•
International Bancshares Corporation and Union Financial Corporation made partial repayments of each institution’s outstanding CPP
investment for a total of $40.6 million, resulting in a total of $177.6 million in outstanding CPP investments remaining among those
institutions.
Sales & Dispositions
•
On July 12, Treasury completed the sale of all Naples Bancorp, Inc. preferred stock held by Treasury to Naples Bancorp, Inc. for an
aggregate purchase price of $0.6 million, pursuant to the terms of the agreement between Treasury and Naples Bancorp, Inc.
•
On July 17, Treasury completed the sale of all Heartland Bancshares, Inc. preferred stock held by Treasury to Horizon Bancorp for an
aggregate purchase price of $7,248,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among
Treasury, Heartland Bancshares, Inc., and Horizon Bancorp.
•
On July 27, Treasury sold preferred stock and subordinated debt positions in twelve institutions through a modified Dutch auction (CBS
Banc-Corp.; Commonwealth Bancshares, Inc.; Diamond Bancorp, Inc.; Exchange Bank; Fidelity Financial Corporation; First
Community Financial Partners, Inc.; First Western Financial, Inc.; Market Street Bancshares, Inc.; Marquette National Corporation;
Premier Financial Bancorp., Inc.; Park Bancorporation; and Trinity Capital Corporation) for a total of approximately $248.5 million in
gross proceeds. More information can be found in Treasury’s press release: http://www.treasury.gov/press-center/pressreleases/Pages/tg1656.aspx
Exchanges
•
As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of
Mississippi, Inc. (the acquirer), the preferred stock and exercised warrants issued by the acquired company on February 6, 2009 were
exchanged for a like amount of securities of the acquirer, pursuant to the terms of an agreement among Treasury, the acquired
company and the acquirer entered into on July 19, 2012.
7
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Warrant Repurchases
In addition to the transactions above, Treasury disposed of warrant positions in eleven institutions in July that were received in
consideration for investments made under the CPP. These proceeds provided an additional return to the American taxpayer of $24.6
million from Treasury’s investments in banks beyond any dividend or interest payment.
•
Treasury completed the sale of warrants issued by Mercantile Bank Corporation; Taylor Capital Group; Farmers Capital Bank
Corporation; LNB Bancorp Inc.; Pinnacle Financial Partners, Inc.; United Bancorp, Inc.; Firstbank Corporation; and Southern First
Bancshares, Inc. for a total of $22.1 million as part of each institution’s purchase or the sale to third parties of all preferred stock
held by Treasury.
•
United Bank Corporation; Community Bancshares of Kansas, Inc; and Fremont Bancorporation repurchased preferred shares
and/or subordinated debentures from exercised warrants from Treasury for a total of $2.5 million
Dividends and Interest
In July, Treasury received dividends and interest income from CPP investments of approximately $6.6 million. Cumulative dividends,
interest and fee income received from Capital Purchase Program investments is approximately $11.7 billion.
Bank Closures
•
On July 13, 2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc., was closed by the
Missouri Division of Finance, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
Figure 4:
Top 25 Remaining Capital Purchase Program Investments as of July 31, 2012
A list of all remaining CPP investments can be found in the appendix to this report.
Institution
1
2
3
4
5
6
7
8
9
10
11
12
13
City, State
Synovus Financial Corp.
Popular, Inc.
Zions Bancorporation
First BanCorpa
Columbus, GA
Hato Rey, PR
Salt Lake City, UT
San Juan, PR
Buffalo, NY
Spokane, WA
Flint, MI
Clayton, MO
New York, NY
Troy, MI
El Monte, CA
Chicago, IL
Santa Barbara, CA
M&T Bank Corporation
Sterling Financial Corporationb
Citizens Republic Bancorp, Inc.
First Banks, Inc.
New York Private Bank & Trust Corp.
Flagstar Bancorp, Inc.
Cathay General Bancorp
PrivateBancorp, Inc.
Pacific Capital Bancorpc
Outstanding
Investment
($millions)
$
$
$
$
$
$
$
$
$
$
$
$
$
967.9
935.0
700.0
400.0
381.5
303.0
300.0
295.4
267.3
266.7
258.0
243.8
180.6
Institution
14
15
16
17
18
19
20
21
22
23
24
25
City, State
United Community Banks, Inc.
International Bancshares Corporation
Dickinson Financial Corporation II
Anchor BanCorp Wisconsin Inc.
Hampton Roads Bankshares, Inc.d
Blairsville, GA
Laredo, TX
Kansas City, MO
Madison, WI
Norfolk, VA
Chicago, IL
Aurora, IL
Warren, OH
Ionia, MI
Arlington, VA
Stillwater, OK
Glenwood Springs, CO
Metropolitan Bank Group, Inc.
Old Second Bancorp, Inc.
First Place Financial Corp.
Independent Bank Corporation
Virginia Commerce Bancorp
Southwest Bancorp, Inc.
Alpine Banks of Colorado
Total
Outstanding
Investment
($millions)
$
180.0
$
176.0
$
146.1
$
110.0
$
80.3
$
78.4
$
73.0
$
72.9
$
72.0
$
71.0
$
70.0
$
70.0
$6.7 billion
8
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Notes to Top 25 Remaining Capital Purchase Program Investments as of July 31, 2012:
a/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First Bancorp
fulfilled the conversion conditions and Treasury's MCP was converted into 32,941,797 shares of common stock.
b/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Sterling fulfilled the conversion conditions
and Treasury's MCP was converted into 378,750,000 shares of common stock. Treasury currently holds 5,738,637 shares of Sterling
common stock following a reverse stock split.
c/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. Pacific Capital
fulfilled the conversion conditions and Treasury's MCP was converted into 360,833,250 shares of common stock. Treasury currently
holds 3,608,332 shares of Pacific Capital common stock following a reverse stock split.
d/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Hampton fulfilled the conversion conditions
and Treasury's MCP was converted into 52,225,550 shares of common stock. Treasury currently holds 2,089,022 shares of Hampton
common stock following a reverse stock split.
Capital Purchase Program Density Maps and Regional Snapshots
Following is a detailed breakdown of remaining institutions with outstanding investments under the Capital Purchase Program. The
locations of remaining institutions’ headquarters are mapped nationwide and regionally to provide a visual overview of outstanding
investments. The maps and regional snapshots will provide monthly overviews of outstanding CPP investments as TARP continues to wind
down its investments.
The regional maps are shown with a list of the Top 15 largest outstanding investments in that region, and a state by state snapshot is
provided for further detail. The regional maps also indicate which of the top 15 institutions in each region have outstanding payments due
to Treasury. A full list of remaining CPP investments, including more detail about those banks with outstanding payments including the
number of payments they have missed, is contained in the appendix to this report. This information is also available in the Dividends and
Interest Report published monthly at http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividendsinterest/Pages/default.aspx.
9
Program Updates – Bank Support Programs
Monthly 105(a) Report
Nationwide CPP Institution Density Map*
July 2012
as of July 31, 2012
Total Remaining Institutions
309
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.
10
July 2012
Program Updates – Bank Support Programs
Monthly 105(a) Report
11
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Mid Atlantic and Northeast
CPP Institutions as of July 31, 2012
Largest 15 Investments in the Northeast
Regional Density Map*
M&T Bank Corporation
NY
Investment
Amount
($ Millions)
382
New York Private Bank & Trust Corporation
NY
267
Hampton Roads Bankshares, Inc.*
VA
80
Virginia Commerce Bancorp
VA
71
Royal Bancshares of Pennsylvania, Inc.
PA
30
First United Corporation
MD
30
VIST Financial Corp.
PA
25
Intervest Bancshares Corporation
NY
25
Eastern Virginia Bank shares, Inc.
VA
24
Severn Bancorp, Inc.
MD
23
TriState Capital Holdings, Inc.
PA
23
Unity Bancorp, Inc.
NJ
21
Community Bank ers Trust Corporation
VA
18
Parke Bancorp, Inc.
NJ
16
Valley Financial Corporation
VA
16
Bank
State
Top 15 Total
1,297
*This institution’s original investment has been converted into shares of common stock in the institution.
Amount shown reflects the original investment amount less sale proceeds as applicable. More information
can be found in the Transaction Report located in the appendix.
State Snapshot
DE
1,052
$
Note: Italic red text indicates institutions that have missed dividend payments. More details can be found in
the appendix to this report and in the Dividends and Interest Report published monthly at
www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state
in which they maintain their headquarters.
CT
$
Region Total
MA
MD
ME
NH
NJ
NY
PA
RI
VA
VT
WV
Number of CPP Institutions
0
0
2
10
2
1
4
4
9
1
12
0
0
Investment Amount ($ Millions)
$0
$0
$21
$108
$17
$2
$52
$681
$130
$1
$285
$0
$0
12
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Southwest and South Central CPP Institutions as of July 31, 2012
Largest 15 Investments in the Southwest
Regional Density Map*
International Bancshares Corporation
TX
Investment
Amount
($ Millions)
176
Southwest Bancorp, Inc.
OK
70
Spirit Bank Corp, Inc.
OK
30
Patriot Bancshares, Inc.
TX
26
Rogers Bancshares, Inc.
AR
25
Central Bancorp, Inc.
TX
23
Bank
State
Central Community Corporation
TX
22
FC Holdings, Inc.
TX
21
Chambers Bancshares, Inc.
AR
20
First Trust Corporation
LA
18
OneFinancial Corporation
AR
17
White River Bancshares Company
AR
17
Community First Bancshares, Inc.
AR
13
TCB Holding Company, Texas Community Bank
TX
12
Farmers & Merchants Bancshares, Inc.
TX
11
Top 15 Total
$
500
Region Total
$
544
Note: Italic red text indicates institutions that have missed dividend payments. More details can be found in
the appendix to this report and in the Dividends and Interest Report published monthly at
www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state
in which they maintain their headquarters.
State Snapshot
AR
Number of CPP Institutions
Investment Amount ($ Millions)
AZ
LA
NM
OK
TX
7
3
4
2
2
11
$93
$8
$28
$12
$100
$304
13
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Mountain West and Plains States CPP Institutions as of July 31, 2012
Largest 15 Investments in the Mountain West
Regional Density Map*
Zions Bancorporation
UT
Investment
Amount
($ Millions)
700
Alpine Banks of Colorado
CO
70
Bank
State
Intermountain Community Bancorp
ID
27
Blue Valley Ban Corp
KS
22
BNCCORP, Inc.
ND
20
First Community Bancshares, Inc
KS
15
Bank ers' Bank of the West Bancorp, Inc.
CO
13
First Western Financial, Inc.
CO
12
Farmers Enterprises, Inc.
KS
12
Security State Bank Holding-Company
ND
11
ColoEast Bank shares, Inc.
CO
10
Syringa Bancorp
ID
8
First Gothenburg Bancshares, Inc.
NE
8
Country Bank Shares, Inc.
NE
8
Millennium Bancorp, Inc.
CO
7
Top 15 Total
$
942
Region Total
$
981
Note: Italic red text indicates institutions that have missed dividend payments. More details can be found in
the appendix to this report and in the Dividends and Interest Report published monthly at
www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state
in which they maintain their headquarters.
State Snapshot
CO
Number of CPP Institutions
Investment Amount ($ Millions)
ID
KS
MT
ND
NE
NV
SD
UT
WY
8
3
6
0
3
4
1
0
1
1
$124
$42
$52
$0
$34
$24
$3
$0
$700
$3
14
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Midwest CPP Institutions as of July 31, 2012
Largest 15 Investments in the Midwest
Regional Density Map*
Citizens Republic Bancorp, Inc.
MI
Investment
Amount
($ Millions)
300
First Bank s, Inc.
MO
295
Flagstar Bancorp, Inc.
MI
267
PrivateBancorp, Inc.
IL
244
Dick inson Financial Corporation II
MO
146
Anchor BanCorp Wisconsin Inc.
WI
110
Metropolitan Bank Group, Inc.
IL
78
Old Second Bancorp, Inc.
IL
73
First Place Financial Corp.
OH
73
Independent Bank Corporation
MI
72
Standard Bancshares, Inc.
IL
60
Reliance Bancshares, Inc.
MO
40
Bank
State
Bridgeview Bancorp, Inc.
IL
38
Porter Bancorp Inc.
KY
35
Enterprise Financial Services Corp.
MO
35
Top 15 Total
$
1,866
Region Total
$
2,531
Note: Italic red text indicates institutions that have missed dividend payments. More details can be found in
the appendix to this report and in the Dividends and Interest Report published monthly at
www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state
in which they maintain their headquarters.
State Snapshot
IA
Number of CPP Institutions
Investment Amount ($ Millions)
IL
IN
KY
MI
MN
MO
OH
WI
3
20
5
8
6
11
19
5
11
$33
$674
$47
$96
$660
$88
$655
$90
$188
15
Program Updates – Bank Support Programs
Monthly 105(a) Report
July 2012
Western Region CPP Institutions as of July 31, 2012
Largest 15 Investments in the West
Regional Density Map*
Bank
State
Sterling Financial Corporation*
WA
Investment
Amount
($ Millions)
303
Cathay General Bancorp
CA
258
Pacific Capital Bancorp*
CA
181
PremierWest Bancorp
OR
41
Heritage Oaks Bancorp
CA
21
Timberland Bancorp, Inc.
WA
17
Pacific City Financial Corporation
CA
16
Community West Bancshares
CA
16
Broadway Financial Corporation
CA
15
Plumas Bancorp
CA
12
Presidio Bank
CA
11
Northwest Bancorporation, Inc.
WA
11
NCAL Bancorp
CA
10
United American Bank
CA
9
Commonwealth Business Bank
CA
8
Top 15 Total
$
927
Region Total
$
1,015
Note: Italic red text indicates institutions that have missed dividend payments. More details can be found in
the appendix to this report and in the Dividends and Interest Report published monthly at
www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state
in which they maintain their headquarters.
*This institution’s original investment has been converted into shares of common stock in the institution.
Amount shown reflects the original investment amount less sale proceeds as applicable. More information
can be found in the Transaction Report located in the appendix.
State Snapshot
AK
CA
HI
OR
WA
Number of CPP Institutions
1
26
0
3
6
Investment Amount ($ Millions)
$5
$615
$0
$49
$346
16
Program Updates – Credit Market Programs
Monthly 105(a) Report
July 2012
Credit Market Programs
Legacy Securities Public-Private Investment Program (PPIP)
On July 19, 2012, Treasury released its quarterly report on the Legacy Securities Public-Private Investment Program (PPIP), for the period
ending June 30, 2012. This is the eleventh quarterly report on PPIP and includes a summary of PPIP capital activity, portfolio holdings and
current pricing, and program and fund performance. Treasury is committed to transparency and accountability in its programs and will
provide additional information as the program continues to mature in subsequent quarterly reports. The report can be found at:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Public-Private-Investment-Program-Quarterly-Report.aspx.
As of June 30, 2012:
•
The Public-Private Investment Funds (PPIFs) have drawn-down approximately $24.2 billion of the total capital committed (82.4% of
total original purchasing power), which has been invested in Eligible Assets and cash equivalents pending investment, as compared to
$23.4 billion as of March 31, 2012. Excluding PPIFs that have completed their investment period, the PPIFs have drawn-down
approximately $19.4 billion of the total capital committed (82.7% of total purchasing power). Among the individual PPIFs, RLJ Western
and Marathon have drawn the most (100% of their total original purchasing power) and Oaktree has drawn the least (47.9% of its total
original purchasing power).
•
Treasury has received approximately $2.0 billion in net cumulative equity distributions, approximately $276 million in cumulative interest
payments and approximately $2.8 billion in cumulative debt principal payments from the PPIFs. Net internal rates of return for individual
PPIFs ranged from 7.4% for Wellington to 21.2% for Oaktree.
•
The total market value of Non-Agency residential mortgage-backed securities (RMBS) and commercial mortgage-backed securities
(CMBS) held by all PPIFs was approximately $19.8 billion with approximately 72% of the portfolio holdings in Non-Agency RMBS and
28% in CMBS.
•
RLJ Western terminated its Investment Period effective July 15, 2012, and therefore, has begun the wind-down of its fund.
PPIFs have been investing for more than two years and have less than six months remaining on their three-year investment periods.
Performance to date may be disproportionately impacted by the pace of capital deployment by each PPIF. Because of this, industry
practice counsels that, at this stage, any performance analysis done on these funds would not generate meaningful results and it would be
premature to draw any long-term conclusions about the performance of individual PPIFs or PPIP in general from the data reported to date.
It should be noted that the current and past performance of a PPIF is not indicative of its future performance.
17
Program Updates – Investment in AIG
Monthly 105(a) Report
July 2012
Investment in American International Group, Inc. (AIG)
On August 3, 2012, Treasury sold approximately 163.9 million shares of its American International Group, Inc. (AIG) common stock at
$30.50 per share for aggregate proceeds of approximately $5.0 billion. AIG purchased more than 98 million shares at the public offering
price – representing approximately $3.0 billion of Treasury’s proceeds from the sale.
On August 6, the underwriters exercised their over-allotment option in full to purchase an approximately 24.6 million additional shares of
AIG common stock at the public offering price of $30.50 per share. The exercise of the over-allotment option increased Treasury’s
proceeds from the public offering to approximately $5.75 billion 3 and the total number of shares sold in the offering to approximately 188.5
million.
The sale reduced Treasury’s remaining investment in AIG to $24.2 billion, consisting of approximately 871.1 million shares of common
stock (574.8 million TARP shares and 296.3 million non-TARP share), and Treasury’s percentage ownership of AIG’s outstanding shares
of common stock declined from approximately 61 percent to 53 percent. During the financial crisis, overall support for AIG through
Treasury and the Federal Reserve totaled approximately $182 billion. After this offering, the remaining Treasury investment represents a
nearly 87 percent reduction from the original $182 billion combined government commitment. More information can be found in Treasury’s
press release: http://www.treasury.gov/press-center/press-releases/Pages/tg1673.aspx.
3
Because this sale took place after the end of the reporting period, the proceeds are not reflected in Figures 1 & 2.
18
Program Updates – Housing Programs
Monthly 105(a) Report
July 2012
Housing Programs
Making Home Affordable Program Performance Report
On August 3, 2012, the U.S. Department of the Treasury released the Making Home Affordable (MHA) Program Performance Report
through June 2012: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Making-Home-Affordable-Program-PerformanceReport.aspx. Highlights from this month include:
•
More than one million homeowners have been granted permanent modifications since the start of the program. Approximately 17,000
new permanent modifications and 16,000 trial modification starts have been reported since the May report.
•
In total, over 1.2 million homeowner assistance actions have been granted through MHA, consisting of first and second lien permanent
modifications, Home Affordable Foreclosure Alternatives (HAFA) transactions, and Unemployment Program (UP) forbearance plans.
•
To date, homeowners in permanent modifications have saved an estimated $13.9 billion in monthly mortgage payments. Homeowners
in active first lien permanent modifications are currently saving a median of $537 per month – more than one-third of their median
before-modification payment.
•
Seventy-five percent of eligible non-GSE customers entering HAMP in June have received some form of principal reduction with their
modification.
•
Eighty-six percent of eligible homeowners entering a HAMP trial modification since June 1, 2010 have received a permanent
modification with an average trial period of 3.5 months.
•
After six months in the program, more than 94% of homeowners remain in permanent modifications and 9.6% of homeowners are 60+
days delinquent.
•
Payment reduction is strongly correlated with permanent modification sustainability. For modifications seasoned 24 months, only 17.4%
of modifications with a monthly payment reduction greater than 50% have been disqualified from the program due to missing three
consecutive payments, compared to a disqualification rate of 44.2% where the payment had been cut by 20% or less. HAMP
modifications continue to exhibit lower delinquency and re-default rates than industry modifications as reported by the Office of the
Comptroller of the Currency.
2MP and HAFA Program Results
•
The Second Lien Modification Program (2MP) enables homeowners in a permanent first lien modification under HAMP to modify
eligible second lien mortgages serviced by a participating servicer. To date, nearly 87,000 homeowners in a permanent first lien
modification under HAMP have received assistance through 2MP.
•
Nearly 80,000 homeowners have reached agreements with their servicer to exit their home and transition to a more affordable living
situation under the HAFA Program through a short sale or deed-in-lieu of foreclosure. Nearly 57,000 homeowners have completed a
short sale or deed-in-lieu under HAFA, which provides $3,000 for relocation assistance after a homeowner exits the home.
19
Program Updates – Housing Programs
Program Updates – Housing Programs
Monthly 105(a) Report
July 2012
Hardest Hit Fund
The Hardest Hit Fund provides $7.6 billion to 18 states and the District of Columbia to provide assistance to struggling homeowners
through locally-tailored programs administered by each respective Housing Finance Agency (HFA). These areas were chosen because
they have experienced steep home price declines or severe unemployment in the economic downturn. States are experimenting with a
number of different programs to help homeowners, including principal reduction, reinstatement, short sale/transition assistance,
modification assistance, loan purchase and mortgage payment programs.
•
There are now 56 programs across the 19 HFAs. Approximately 70 percent of total program funds are being targeted to help
unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgage while looking for work.
•
All 19 HFAs have created extensive infrastructures to operate these programs, including selecting and training networks of housing
counselors to assist with applications, creating homeowner portals to aid homeowners in applying for assistance, and hiring of
underwriters and other staff to review and approve applications.
•
The five largest servicers (Bank of America, GMAC, JPMorgan Chase, Citibank, and Wells Fargo) are participating in all states,
primarily in mortgage payment assistance and reinstatement programs; several states have more than one hundred participating
servicers.
•
All HFAs are up and fully operational. Although states take time to refine processes and build volume, a number of states that have
been up and running for longer periods of time have shown substantial growth in the number of borrowers assisted (e.g., California,
Florida, Illinois, Michigan, North Carolina, Ohio and South Carolina). Treasury is working to identify best practices, share lessons
learned between states and provide additional assistance and oversight to struggling HFAs.
•
Treasury recently approved program changes in Arizona, California, Indiana, Nevada, and Oregon. The changes to these programs are
designed to make them more flexible, expand the eligible population of homeowners, and offer deeper levels of assistance to enable
particularly hard hit homeowners to recover from unemployment or achieve a more sustainable mortgage payment. Arizona, California
and Nevada are all launching unmatched principal reduction programs that can include GSE customers, and Nevada has already
closed on its first principal reduction assistance for an underwater homeowner receiving a refinance through the Home Affordable
Refinance Program (HARP 2.0).
•
Four HFAs drew a total of $73 million in July; over the life of the program, a total of $1.14 billion has been drawn down by the 18 states
and the District of Columbia. Each HFA draws down funds as they are needed (see Figure 6). HFAs have until December 31, 2017 to
expend funds, and must have no more than 5 percent of their allocation on hand before they can draw down additional funds.
•
Each state submits a quarterly report on the progress of its programs. Direct links to each state’s most recent performance report can
be found at http://www.treasury.gov/initiatives/financial-stability/TARP-Programs/housing/Pages/Program-Documents.aspx and below
in Figure 5.
20
Monthly 105(a) Report
Figure 5:
Programs Available Through the Hardest Hit Fund
AL
AZ
CA
Statewide
Launch
2/2/11
9/20/10
1/10/11
DC
4/19/11
FL
GA
IL
IN
KY
MI
MS
NC
NJ
NV
OH
OR
4/18/11
4/1/11
7/25/11
5/10/11
4/1/11
7/12/10
5/16/11
12/1/10
5/8/11
2/21/11
9/27/10
12/10/10
RI
12/1/10
SC
TN
1/20/11
3/1/11
State
July 2012
Reporting Link
Program Information Link
http://www.hardesthitalabama.com/TreasuryHHA.html
http://www.azhousing.gov/ShowPage.aspx?ID=405&CID=11
http://www.keepyourhomecalifornia.org/reports.htm
http://www.dchfa.org/DCHFAHome/Homebuyers/ForeclosurePrevention/QuarterlyRepor
ts/tabid/219/Default.aspx
http://www.hardesthitalabama.com
https://www.savemyhomeaz.gov/
www.keepyourhomecalifornia.org
http://apps.floridahousing.org/StandAlone/FHFC_ECM/ContentPage.aspx?PAGE=0277
http://www.dca.state.ga.us/housing/homeownership/programs/treasuryReports.asp
http://www.illinoishardesthit.org/spv-7.aspx
http://www.877gethope.org/news/indianas-hardest-hit-funding-update
http://www.kyhousing.org/page.aspx?id=3165
http://www.michigan.gov/mshda/0,1607,7-141-45866_47905-250571--,00.html
http://www.mshomecorp.com/about%20mhc/disclosures.htm
http://www.ncforeclosureprevention.gov/hardest_hit_funds.aspx
http://www.njhomekeeper.gov/performance.htm
http://www.nahac.org/
http://www.ohiohome.org/restoringstability/reports.aspx
http://www.oregonhomeownerhelp.org/en/reporting
http://www.hhfri.org/HHFRI_Dynamic_Content.aspx?id=10737418256&ekmensel=c580f
a7b_10737418238_10737418240_btnlink
http://www.scmortgagehelp.com/reports.html
https://www.keepmytnhome.org/
https://www.flhardesthithelp.org/
https://www.homesafegeorgia.com
https://www.illinoishardesthit.org/
http://www.877gethope.org/
http://www.ProtectMyKYHome.org
http://www.stepforwardmichigan.org
http://www.mshomesaver.com
http://www.ncforeclosureprevention.gov/
http://www.njhomekeeper.gov
http://www.nahac.org/
http://www.savethedream.ohio.gov/
http://www.oregonhomeownerhelp.org/
https://www.homesaverdc.org/
http://www.hhfri.org/
http://www.scmortgagehelp.com/
http://www.keepmytnhome.org
21
Program Updates – Housing Programs
Monthly 105(a) Report
Figure 6:
July 2012
Hardest Hit Fund as of July 31, 2012
State (% Cap Disbursed) $0
Alabama (17.2%)
Arizona (17.8%)
$500,000,000
$1,000,000,000
$1,500,000,000
$47,755,000
$217,490,000
$10,034,860
Florida (8.5%)
$89,800,000
Georgia (11.3%)
$38,200,000
Illinois (21.7%)
Indiana (9.9%)
Kentucky (16.1%)
$96,500,000
$22,000,000
$24,000,000
Michigan (9.5%)
Mississippi (10%)
$47,317,776
$10,188,832
North Carolina (26.5%)
New Jersey (7.5%)
Nevada (9.2%)
$128,000,000
$22,513,704
$17,922,000
Ohio (22.8%)
Oregon (48.9%)
Rhode Island (32.8%)
South Carolina (16.9%)
Tennessee (14.4%)
$2,500,000,000
$28,000,000
California (11%)
Washington D.C. (48.5%)
$2,000,000,000
$130,100,000
$107,501,070
$26,000,000
$50,000,000
$31,315,593
Funds Remaining
Paid to Date (Amount Shown)
22
Table of Contents – Appendix
Monthly 105(a) Report
July 2012
Appendix Section
Statutory Requirement 4
Remaining CPP Institutions……………………………………………………………………………..
Additional Information
24
Administrative Obligations and Expenditures…………………………….…………………………
EESA §105(a)(2)
31
Agreements under TARP………………………………………………………….……………………..
EESA §105(a)(3)(A)
32
Insurance Contracts……………………………………………………………….……………………..
EESA §105(a)(3)(B)
38
Transactions Report…………………………………………………………….………………………..
EESA §105(a)(3)(C,D,G)
39
Page
Investment Programs
39
Home Affordable Modification Program
71
Projected Costs and Liabilities………………………………………………………………………....
EESA §105(a)(3)(E)
111
Programmatic Operating Expenses……………………………………………………………………
EESA §105(a)(3)(F)
112
Description of Vehicles Established…………………………………………………………...……...
EESA §105(a)(3)(H)
113
HAMP Application Activity by Servicer………………………………………………………..……...
Dodd-Frank §1483(b)
114
4
§105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform
and Consumer Protection Act).
23
Remaining CPP Institutions
Name
Location
Public/
Amount
Private Outstanding
Synovus Financial Corp.
Popular, Inc.
Zions Bancorporation
First BanCorp*
M&T Bank Corporation
Sterling Financial Corporation*
Citizens Republic Bancorp, Inc.
First Banks, Inc.
New York Private Bank & Trust Corporation
Flagstar Bancorp, Inc.
Cathay General Bancorp
PrivateBancorp, Inc.
Pacific Capital Bancorp*
United Community Banks, Inc.
International Bancshares Corporation
Dickinson Financial Corporation II
Anchor BanCorp Wisconsin Inc.
Hampton Roads Bankshares, Inc.*
Metropolitan Bank Group, Inc.
Old Second Bancorp, Inc.
First Place Financial Corp.
Independent Bank Corporation
Virginia Commerce Bancorp
Southwest Bancorp, Inc.
Alpine Banks of Colorado
Standard Bancshares, Inc.
NewBridge Bancorp
FNB United Corp.*
U.S. Century Bank
BancTrust Financial Group, Inc.
Yadkin Valley Financial Corporation
Southern Community Financial Corp.
PremierWest Bancorp
Reliance Bancshares, Inc.
Bridgeview Bancorp, Inc.
First South Bancorp, Inc.
Porter Bancorp Inc.
Enterprise Financial Services Corp.
First American Bank Corporation
First Security Group, Inc.
Centrue Financial Corporation
BNC Bancorp
Columbus, GA
San Juan, PR
Salt Lake City, UT
San Juan, PR
Buffalo, NY
Spokane, WA
Flint, MI
Clayton, MO
New York, NY
Troy, MI
Los Angeles, CA
Chicago, IL
Santa Barbara, CA
Blairsville, GA
Laredo, TX
Kansas City, MO
Madison, WI
Norfolk, VA
Chicago, IL
Aurora, IL
Warren, OH
Ionia, MI
Arlington, VA
Stillwater, OK
Glenwood Springs, CO
Hickory Hills, IL
Greensboro, NC
Asheboro, NC
Miami, FL
Mobile, AL
Elkin, NC
Winston-Salem, NC
Medford, OR
Frontenac, MO
Bridgeview, IL
Lexington, TN
Louisville, KY
St. Louis, MO
Elk Grove Village, IL
Chattanooga, TN
St. Louis, MO
Thomasville, NC
Public
Public
Public
Public
Public
Public
Public
Private
Private
Public
Public
Public
Public
Public
Public
Private
Public
Public
Private
Public
Public
Public
Public
Public
Private
Private
Public
Public
Private
Public
Public
Public
Public
Public
Private
Private
Public
Public
Private
Public
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
967,870,000
935,000,000
700,000,000
400,000,000
381,500,000
303,000,000
300,000,000
295,400,000
267,274,000
266,657,000
258,000,000
243,815,000
180,634,000
180,000,000
176,000,000
146,053,000
110,000,000
80,347,000
78,406,000
73,000,000
72,927,000
72,000,000
71,000,000
70,000,000
70,000,000
60,000,000
52,372,000
51,500,000
50,236,000
50,000,000
49,312,000
42,750,000
41,400,000
40,000,000
38,000,000
36,875,000
35,000,000
35,000,000
35,000,000
33,000,000
32,668,000
31,260,000
24
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
Spirit BankCorp, Inc.
Colony Bankcorp, Inc.
Intermountain Community Bancorp
Patriot Bancshares, Inc.
HMN Financial, Inc.
Princeton National Bancorp, Inc.
VIST Financial Corp.
Intervest Bancshares Corporation
Rogers Bancshares, Inc.
Citizens Bancshares Co.
Crescent Financial Bancshares, Inc.
National Bancshares, Inc.
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
TriState Capital Holdings, Inc.
Central Bancorp, Inc.
Central Community Corporation
First Community Financial Partners, Inc.
Blue Valley Ban Corp
Indiana Community Bancorp
FC Holdings, Inc.
Heritage Oaks Bancorp
The Baraboo Bancorporation
Unity Bancorp, Inc.
Florida Bank Group, Inc.
BNCCORP, Inc.
First Financial Service Corporation
Chambers Bancshares, Inc.
HopFed Bancorp
Hawthorn Bancshares, Inc.
First Trust Corporation
ECB Bancorp, Inc.
Community First Inc.
Community Bankers Trust Corporation
OneFinancial Corporation
Liberty Shares, Inc.
F&M Financial Corporation
Northern States Financial Corporation
F & M Financial Corporation
White River Bancshares Company
Timberland Bancorp, Inc.
1st FS Corporation
Parke Bancorp, Inc.
Pacific City Financial Corporation
Narberth, PA
Oakland, MD
Bristow, OK
Fitzgerald, GA
Sandpoint, ID
Houston, TX
Rochester, MN
Princeton, IL
Wyomissing, PA
New York, NY
Little Rock, AR
Chillicothe, MO
Cary, NC
Bettendorf, IA
Tappahannock, VA
Annapolis, MD
Pittsburgh, PA
Garland, TX
Temple, TX
Joliet, IL
Overland Park, KS
Columbus, IN
Houston, TX
Paso Robles, CA
Baraboo, WI
Clinton, NJ
Tampa, FL
Bismarck, ND
Elizabethtown, KY
Danville, AR
Hopkinsville, KY
Lee's Summit, MO
New Orleans, LA
Engelhard, NC
Columbia, TN
Glen Allen, VA
Little Rock, AR
Hinesville, GA
Clarksville, TN
Waukegan, IL
Salisbury, NC
Fayetteville, AR
Hoquiam, WA
Hendersonville, NC
Sewell, NJ
Los Angeles, CA
Public
Public
Private
Public
Public
Private
Public
Public
Public
Public
Private
Private
Public
Public
Public
Public
Private
Private
Private
Public
Public
Public
Private
Public
Public
Public
Private
Public
Public
Private
Public
Public
Private
Public
Private
Public
Private
Private
Private
Public
Private
Private
Public
Public
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
30,407,000
30,000,000
30,000,000
28,000,000
27,000,000
26,038,000
26,000,000
25,083,000
25,000,000
25,000,000
25,000,000
24,990,000
24,900,000
24,664,000
24,000,000
23,393,000
23,000,000
22,500,000
22,000,000
22,000,000
21,750,000
21,500,000
21,042,000
21,000,000
20,749,000
20,649,000
20,471,000
20,093,000
20,000,000
19,817,000
18,400,000
18,255,000
17,969,000
17,949,000
17,806,000
17,680,000
17,300,000
17,280,000
17,243,000
17,211,000
17,000,000
16,800,000
16,641,000
16,369,000
16,288,000
16,200,000
25
Valley Financial Corporation
CoastalSouth Bancshares, Inc.
Carolina Bank Holdings, Inc.
Community West Bancshares
First Reliance Bancshares, Inc.
Broadway Financial Corporation
Foresight Financial Group, Inc.
Suburban Illinois Bancorp, Inc.
First Community Bancshares, Inc
Village Bank and Trust Financial Corp
Tidelands Bancshares, Inc
First National Corporation
Bank of the Carolinas Corporation
SouthCrest Financial Group, Inc.
HCSB Financial Corporation
Community First Bancshares, Inc.
Community Financial Corporation
Bankers' Bank of the West Bancorp, Inc.
Meridian Bank
The First Bancorp, Inc.
First Western Financial, Inc.
PeoplesSouth Bancshares, Inc.
OneUnited Bank
The Queensborough Company
Guaranty Federal Bancshares, Inc.
Blue Ridge Bancshares, Inc.
Duke Financial Group, Inc.
Farmers Enterprises, Inc.
Alliance Financial Services Inc.
Plumas Bancorp
TCB Holding Company, Texas Community Bank
Cecil Bancorp, Inc.
Western Illinois Bancshares Inc.
Central Virginia Bankshares, Inc.
First Community Corporation
Farmers & Merchants Bancshares, Inc.
Mackinac Financial Corporation
Stonebridge Financial Corp.
Ridgestone Financial Services, Inc.
Presidio Bank
Security State Bank Holding-Company
Crosstown Holding Company
Northwest Bancorporation, Inc.
Uwharrie Capital Corp
Mid Penn Bancorp, Inc.
NCAL Bancorp
Roanoke, VA
Hilton Head Island, SC
Greensboro, NC
Goleta, CA
Florence, SC
Los Angeles, CA
Rockford, IL
Elmhurst, IL
Overland Park, KS
Midlothian, VA
Mount Pleasant, SC
Strasburg, VA
Mocksville, NC
Fayetteville, GA
Loris, SC
Harrison, AR
Staunton, VA
Denver, CO
Devon, PA
Damariscotta, ME
Denver, CO
Colquitt, GA
Boston, MA
Louisville, GA
Springfield, MO
Independence, MO
Minneapolis, MN
Great Bend, KS
Saint Paul, MN
Quincy, CA
The Woodlands, TX
Elkton, MD
Monmouth, IL
Powhatan, VA
Lexington, SC
Houston, TX
Manistique, MI
West Chester, PA
Brookfield, WI
San Francisco, CA
Jamestown, ND
Blaine, MN
Spokane, WA
Albemarle, NC
Millersburg, PA
Los Angeles, CA
Public
Private
Public
Public
Public
Private
Public
Private
Private
Public
Public
Public
Public
Public
Public
Private
Public
Private
Private
Public
Private
Private
Private
Private
Public
Private
Private
Private
Private
Public
Private
Public
Private
Public
Public
Private
Public
Private
Private
Public
Private
Private
Public
Public
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
16,019,000
16,015,000
16,000,000
15,600,000
15,349,000
15,000,000
15,000,000
15,000,000
14,800,000
14,738,000
14,448,000
13,900,000
13,179,000
12,900,000
12,895,000
12,725,000
12,643,000
12,639,000
12,535,000
12,500,000
12,440,000
12,325,000
12,063,000
12,000,000
12,000,000
12,000,000
12,000,000
12,000,000
12,000,000
11,949,000
11,730,000
11,560,000
11,422,000
11,385,000
11,350,000
11,000,000
11,000,000
10,973,000
10,900,000
10,800,000
10,750,000
10,650,000
10,500,000
10,000,000
10,000,000
10,000,000
26
ColoEast Bankshares, Inc.
Mid-Wisconsin Financial Services, Inc.
Blackhawk Bancorp, Inc.
HomeTown Bankshares Corporation
Century Financial Services Corporation
Greer Bancshares Incorporated
Regent Bancorp, Inc.
Coastal Banking Company, Inc.
Universal Bancorp
Premier Bank Holding Company
City National Bancshares Corporation
Provident Community Bancshares, Inc.
Carrollton Bancorp
First Priority Financial Corp.
Delmar Bancorp
Business Bancshares, Inc.
HPK Financial Corporation
Wachusett Financial Services, Inc.
RCB Financial Corporation
Farmers Bank
First Freedom Bancshares, Inc.
United American Bank
BancStar, Inc.
Great River Holding Company
Private Bancorporation, Inc.
F & M Bancshares, Inc.
Syringa Bancorp
Commonwealth Business Bank
Oak Ridge Financial Services, Inc.
Metro City Bank
First Gothenburg Bancshares, Inc.
Country Bank Shares, Inc.
The Little Bank, Incorporated
BNB Financial Services Corporation
GulfSouth Private Bank
First Sound Bank
Western Community Bancshares, Inc.
FFW Corporation
Millennium Bancorp, Inc.
Central Federal Corporation
TriSummit Bank
Fidelity Bancorp, Inc.
Chicago Shore Corporation
Community Financial Shares, Inc.
Idaho Bancorp
Harbor Bankshares Corporation
Lamar, CO
Medford, WI
Beloit, WI
Roanoke, VA
Santa Fe, NM
Greer, SC
Davie, FL
Fernandina Beach, FL
Bloomfield, IN
Tallahassee, FL
Newark, NJ
Rock Hill, SC
Baltimore, MD
Malvern, PA
Delmar, MD
Clayton, MO
Chicago, IL
Clinton, MA
Rome, GA
Windsor, VA
Lebanon, TN
San Mateo, CA
Festus, MO
Baxter, MN
Minneapolis, MN
Trezevant, TN
Boise, ID
Los Angeles, CA
Oak Ridge, NC
Doraville, GA
Gothenburg, NE
Milford, NE
Kinston, NC
New York, NY
Destin, FL
Seattle, WA
Palm Desert, CA
Wabash, IN
Edwards, CO
Fairlawn, OH
Kingsport, TN
Pittsburgh, PA
Chicago, IL
Glen Ellyn, IL
Boise, ID
Baltimore, MD
Private
Public
Public
Public
Private
Public
Public
Public
Private
Private
Private
Public
Public
Private
Public
Private
Private
Private
Private
Private
Private
Public
Private
Private
Private
Private
Public
Public
Public
Private
Private
Private
Public
Private
Private
Public
Private
Public
Private
Public
Private
Public
Private
Public
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,000,000
10,000,000
10,000,000
10,000,000
10,000,000
9,993,000
9,982,000
9,950,000
9,900,000
9,500,000
9,439,000
9,266,000
9,201,000
9,175,000
9,000,000
9,000,000
9,000,000
9,000,000
8,900,000
8,752,000
8,700,000
8,700,000
8,600,000
8,400,000
8,222,000
8,144,000
8,000,000
7,701,000
7,700,000
7,700,000
7,570,000
7,525,000
7,500,000
7,500,000
7,500,000
7,400,000
7,290,000
7,289,000
7,260,000
7,225,000
7,002,000
7,000,000
7,000,000
6,970,000
6,900,000
6,800,000
27
Monarch Community Bancorp, Inc.
Highlands Independent Bancshares, Inc.
Fidelity Federal Bancorp
Citizens First Corporation
Alarion Financial Services, Inc.
Pacific International Bancorp
Liberty Bancshares, Inc.
Biscayne Bancshares, Inc.
First Intercontinental Bank
Premier Financial Corp
Citizens Commerce Bancshares, Inc.
Randolph Bank & Trust Company
Patapsco Bancorp, Inc.
Peninsula Bank Holding Co.
ICB Financial
Rising Sun Bancorp
IA Bancorp, Inc.
Three Shores Bancorporation, Inc.
Waukesha Bankshares, Inc.
Boscobel Bancorp, Inc
Valley Community Bank
First Southwest Bancorporation, Inc.
Midtown Bank & Trust Company
Moscow Bancshares, Inc.
Capital Commerce Bancorp, Inc.
Franklin Bancorp, Inc.
Covenant Financial Corporation
AmFirst Financial Services, Inc.
Germantown Capital Corporation, Inc.
Alaska Pacific Bancshares, Inc.
Western Reserve Bancorp, Inc
Virginia Company Bank
CalWest Bancorp
Georgia Primary Bank
River Valley Bancorporation, Inc.
Community Pride Bank Corporation
CBB Bancorp
Pinnacle Bank Holding Company, Inc.
Metropolitan Capital Bancorp, Inc.
First Business Bank, N.A.
Northeast Bancorp
Annapolis Bancorp, Inc.
Pacific Commerce Bank
Capital Pacific Bancorp
Todd Bancshares, Inc.
Carolina Trust Bank
Coldwater, MI
Sebring, FL
Evansville, IN
Bowling Green, KY
Ocala, FL
Seattle, WA
Fort Worth, TX
Coconut Grove, FL
Doraville, GA
Dubuque, IA
Versailles, KY
Asheboro, NC
Dundalk, MD
Palo Alto, CA
Ontario, CA
Rising Sun, MD
Iselin, NJ
Orlando, FL
Waukesha, WI
Boscobel, WI
Pleasanton, CA
Alamosa, CO
Atlanta, GA
Moscow, TN
Milwaukee, WI
Washington, MO
Clarksdale, MS
McCook, NE
Germantown, TN
Juneau, AK
Medina, OH
Newport News, VA
Rancho Santa Margarita, CA
Atlanta, GA
Wausau, WI
Ham Lake, MN
Cartersville, GA
Orange City, FL
Chicago, IL
San Diego, CA
Lewiston, ME
Annapolis, MD
Los Angeles, CA
Portland, OR
Hopkinsville, KY
Lincolnton, NC
Public
Private
Public
Public
Private
Public
Private
Private
Public
Private
Public
Public
Public
Public
Public
Public
Private
Private
Private
Private
Public
Private
Private
Private
Private
Private
Private
Private
Private
Public
Public
Public
Public
Private
Private
Private
Private
Private
Private
Public
Public
Public
Public
Public
Private
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,785,000
6,700,000
6,657,000
6,566,692
6,514,000
6,500,000
6,500,000
6,400,000
6,398,000
6,349,000
6,300,000
6,229,000
6,000,000
6,000,000
6,000,000
5,983,000
5,976,000
5,677,000
5,625,000
5,586,000
5,500,000
5,500,000
5,222,000
5,116,000
5,100,000
5,097,000
5,000,000
5,000,000
4,967,000
4,781,000
4,700,000
4,700,000
4,656,000
4,500,000
4,500,000
4,400,000
4,397,000
4,389,000
4,388,000
4,243,000
4,227,000
4,076,000
4,060,000
4,000,000
4,000,000
4,000,000
28
Premier Service Bank
Investors Financial Corporation of Pettis County, Inc.
KS Bancorp, Inc.
Community Business Bank
Fidelity Bancorp, Inc
Peoples Bancshares of TN, Inc
Community Bancshares, Inc.
Pathway Bancorp
First BancTrust Corporation
Allied First Bancorp, Inc.
CedarStone Bank
AB&T Financial Corporation
Patterson Bancshares, Inc
First Alliance Bancshares, Inc.
Madison Financial Corporation
Mountain Valley Bancshares, Inc.
Congaree Bancshares, Inc.
Hometown Bancorp of Alabama, Inc.
First Independence Corporation
Oregon Bancorp, Inc.
Crazy Woman Creek Bancorp, Inc.
Grand Mountain Bancshares, Inc.
Lone Star Bank
Sound Banking Company
Tennessee Valley Financial Holdings, Inc.
Bank of Commerce
Clover Community Bankshares, Inc.
St. Johns Bancshares, Inc.
Marine Bank & Trust Company
Freeport Bancshares, Inc.
Layton Park Financial Group
F & C Bancorp, Inc.
Alliance Bancshares, Inc.
Santa Clara Valley Bank, N.A.
US Metro Bank
Omega Capital Corp.
Prairie Star Bancshares, Inc.
SouthFirst Bancshares, Inc.
Blackridge Financial, Inc.
Worthington Financial Holdings, Inc.
DeSoto County Bank
Bank of George
Manhattan Bancshares, Inc.
Community Investors Bancorp, Inc.
Goldwater Bank, N.A.
Community 1st Bank
Riverside, CA
Sedalia, MO
Smithfield, NC
West Sacramento, CA
Baton Rouge, LA
Madisonville, TN
Kingman, AZ
Cairo, NE
Paris, IL
Oswego, IL
Lebanon, TN
Gastonia, NC
Patterson, LA
Cordova, TN
Richmond, KY
Cleveland, GA
Cayce, SC
Oneonta, AL
Detroit, MI
Salem, OR
Buffalo, WY
Granby, CO
Houston, TX
Morehead City, NC
Oak Ridge, TN
Charlotte, NC
Clover, SC
St. Louis, MO
Vero Beach, FL
Freeport, IL
Milwaukee, WI
Holden, MO
Dalton, GA
Santa Paula, CA
Garden Grove, CA
Lakewood, CO
Olathe, KS
Sylacauga, AL
Fargo, ND
Huntsville, AL
Horn Lake, MS
Las Vegas, NV
Manhattan, IL
Bucyrus, OH
Scottsdale, AZ
Roseville, CA
Public
Private
Public
Public
Private
Private
Private
Private
Public
Public
Private
Private
Private
Private
Private
Private
Public
Private
Private
Public
Public
Private
Private
Public
Private
Public
Private
Private
Private
Private
Private
Private
Public
Public
Public
Private
Private
Public
Private
Private
Private
Private
Private
Public
Private
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,000,000
4,000,000
4,000,000
3,976,000
3,942,000
3,900,000
3,872,000
3,727,000
3,675,000
3,652,000
3,564,000
3,500,000
3,440,000
3,422,000
3,370,000
3,300,000
3,285,000
3,250,000
3,223,000
3,216,000
3,100,000
3,076,000
3,072,000
3,070,000
3,000,000
3,000,000
3,000,000
3,000,000
3,000,000
3,000,000
3,000,000
2,993,000
2,986,000
2,900,000
2,861,000
2,816,000
2,800,000
2,760,000
2,750,000
2,720,000
2,681,000
2,672,000
2,639,000
2,600,000
2,568,000
2,550,000
29
Plato Holdings Inc.
Grand Financial Corporation
CSRA Bank Corp.
Green Circle Investments, Inc.
Brogan Bankshares, Inc.
Citizens Bank & Trust Company
NEMO Bancshares Inc.
IBT Bancorp, Inc.
CenterBank
Security Bancshares of Pulaski County, Inc.
Ojai Community Bank
Market Bancorporation, Inc.
Atlantic Bancshares, Inc.
Northwest Commercial Bank
Fresno First Bank
Hometown Bancshares, Inc.
Monadnock Bancorp, Inc.
BCB Holding Company, Inc.
Maryland Financial Bank
Gold Canyon Bank
Union Financial Corporation
Hyperion Bank
Saigon National Bank
Regional Bankshares, Inc.
Vision Bank - Texas
Indiana Bank Corp.
First Advantage Bancshares Inc.
Riverside Bancshares, Inc.
Independence Bank
Community Holding Company of Florida, Inc.
Calvert Financial Corporation
Bank Financial Services, Inc.
BankGreenville
Corning Savings and Loan Association
Kirksville Bancorp, Inc.
Farmers & Merchants Financial Corporation
The Freeport State Bank
Saint Paul, MN
Hattiesburg, MS
Wrens, GA
Clive, IA
Kaukauna, WI
Covington, LA
Madison, MO
Irving, TX
Milford, OH
Waynesville, MO
Ojai, CA
New Market, MN
Bluffton, SC
Lakewood, WA
Fresno, CA
Corbin, KY
Peterborough, NH
Theodore, AL
Towson, MD
Gold Canyon, AZ
Albuquerque, NM
Philadelphia, PA
Westminster, CA
Hartsville, SC
Richardson, TX
Dana, IN
Coon Rapids, MN
Little Rock, AR
East Greenwich, RI
Miramar Beach, FL
Ashland, MO
Eden Prairie, MN
Greenville, SC
Corning, AR
Kirksville, MO
Argonia, KS
Harper, KS
Private
Private
Private
Private
Private
Private
Private
Private
Private
Private
Public
Private
Public
Public
Public
Private
Public
Private
Private
Public
Private
Private
Public
Private
Private
Private
Private
Private
Private
Private
Private
Private
Public
Private
Private
Private
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,500,000
2,443,320
2,400,000
2,400,000
2,400,000
2,400,000
2,330,000
2,295,000
2,250,000
2,152,000
2,080,000
2,060,000
2,000,000
1,992,000
1,968,000
1,900,000
1,834,000
1,706,000
1,700,000
1,607,000
1,579,000
1,552,000
1,549,000
1,500,000
1,500,000
1,312,000
1,177,000
1,100,000
1,065,000
1,050,000
1,037,000
1,004,000
1,000,000
638,000
470,000
442,000
301,000
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is
original invesment amount
30
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
July 31, 2012
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class
Budget Object Class Title
(BOC)
1100 & 1200 PERSONNEL COMPENSATION & BENEFITS
PERSONNEL SERVICES Total:
2100
TRAVEL & TRANSPORTATION OF PERSONS
2200
TRANSPORTATION OF THINGS
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
2400
PRINTING & REPRODUCTION
2500
OTHER SERVICES
2600
SUPPLIES AND MATERIALS
3100
EQUIPMENT
3200
LAND & STRUCTURES
4300
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total:
$
$
$
$
$
$
$
$
$
$
$
$
GRAND TOTAL: $
Obligations
96,584,264
96,584,264
1,965,718
11,960
764,636
402
215,666,982
1,375,131
253,286
634
220,038,748
316,623,012
$
$
$
$
$
$
$
$
$
$
$
$
$
Expenditures
96,415,604
96,415,604
1,902,770
11,960
689,873
402
169,048,544
1,361,301
243,907
634
173,259,390
269,674,995
For Period Ending
August 31, 2012
$
$
$
$
$
Projected
Obligations
98,741,000
98,741,000
2,023,000
12,000
765,000
500
218,181,000
1,380,000
254,000
640
222,616,140
321,357,140
$
$
$
$
$
Projected
Expenditures
98,572,000
98,572,000
1,965,000
12,000
690,000
500
171,969,000
1,364,000
244,000
640
176,245,140
274,817,140
Note: The amounts presented above are cumulative from the initiation of the TARP.
31
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period May 2012
Date Approved
Type of Transaction
10/10/2008
10/11/2008
10/14/2008
10/16/2008
10/17/2008
10/18/2008
10/29/2008
10/29/2008
10/31/2008
11/7/2008
11/9/2008
11/17/2008
11/25/2008
12/3/2008
12/5/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
1/6/2009
1/7/2009
1/27/2009
1/27/2009
1/30/2009
2/2/2009
2/3/2009
2/9/2009
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Vendor
Simpson Thacher & Bartlett Mnp LLP
Ennis Knupp & Associates Inc
The Bank of New York Mellon
PricewaterhouseCoopers LLP-1
Turner Consulting Group, Inc.*
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire Sanders & Dempsey LLP
Lindholm & Associates Inc.*
Sonnenschein Nath & Rosenthal LLP
Internal Revenue Service
Internal Revenue Service - CSC
Department of the Treasury - Departmental Offices
Trade and Tax Bureau - Treasury
Washington Post
Sonnenschein Nath & Rosenthal LLP
Thacher Proffitt & Wood**
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of Va Inc
Securities and Exchange Commission
Colonial Parking Inc.
Cadwalader Wickersham & Taft LLP
Whitaker Brothers Bus Machines Inc.*
Office of the Controller of the Currency
Government Accountability Office
Internal Revenue Service
Pat Taylor & Assoc Inc.*
Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archive Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Legal Advisory
Detailee
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Detailee
Detailee
Detailees
Administrative Support
Detailee
Parking
Legal Advisory
Office Machines
Detailee
Oversight Services
Detailees
Administrative Support
32
Date Approved
Type of Transaction
2/12/2009
2/18/2009
2/18/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/26/2009
2/27/2009
3/6/2009
3/16/2009
3/23/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/31/2009
4/3/2009
4/3/2009
4/17/2009
4/17/2009
4/21/2009
4/21/2009
4/21/2009
4/30/2009
5/5/2009
5/13/2009
5/14/2009
5/15/2009
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009
7/15/2009
7/17/2009
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Vendor
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Financial Clerk U.S. Senate
Office of Thrift Supervision
Simpson Thacher & Bartlett Mnp LLP
Venable LLP-1
Securities and Exchange Commission
Pension Benefit Guaranty Corp.
The Boston Consulting Group Inc
EARNEST Partners*
Heery International Inc.*
Bingham Mccutchen LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
Mckee Nelson LLP***
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.*
American Furniture Rentals*
The Boston Consulting Group Inc
Bureau of Engraving and Printing
Herman Miller Inc.
AllianceBernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC*
State Department
Federal Reserve Board
Department of Treasury - US Mint
Knowledgebank Inc.*
Phacil Inc.
Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta*
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service - Gartner, Inc.
Department of Interior
Judicial Watch
Korn/Ferry International
Purpose
Legal Advisory
Homeownership Program
Homeownership Program
Oversight Services
Detailees
Legal Advisory
Legal Advisory
Detailee
Legal Services
Financial Advisory
Small Business Assistance Program
Architectural Services
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Detailee
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Detailee
Detailee
Administrative Support
Administrative Support
FOIA Support Services
Detailee
Detailee
Legal Advisory
Legal Advisory
Information Technology
Information Technology
Legal Advisory
Administrative Support
33
Date Approved
Type of Transaction
7/30/2009
7/30/2009
7/30/2009
8/10/2009
8/10/2009
8/18/2009
8/25/2009
9/2/2009
9/10/2009
9/11/2009
9/18/2009
9/30/2009
9/30/2009
9/30/2009
9/30/2009
11/9/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
1/14/2010
1/15/2010
2/16/2010
2/16/2010
2/18/2010
3/8/2010
3/22/2010
3/26/2010
3/29/2010
4/2/2010
4/8/2010
4/12/2010
4/22/2010
4/22/2010
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Financial Agent
Financial Agent
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Vendor
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Fox Hefter Swibel Levin & Carol, LLP
Department of Justice
NASA
Mercer (US) Inc.
Department of Justice
Knowledge Mosaic Inc.*
Equilar Inc.*
PricewaterhouseCoopers LLP-1
Bureau of the Public Debt - ARC
IMMIXTECHNOLOGY INC.
IMMIXTECHNOLOGY INC.
NNA Inc.
SNL Financial LC
Department of the Treasury - Departmental Offices
Internal Revenue Service
Avondale Investments, LLC*
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.*
Hughes Hubbard & Reed LLP
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*
Paradigm Asset Management Co., LLC*
Government Accountability Office
Association of Govt Accountants
Internal Revenue Service
The Mitre Corporation
Bureau of the Public Debt - ARC
Qualx Corporation*
Financial Management Services - Gartner, Inc.
Federal Maritime Commission (FMC)
Morgan Stanley & Co. Incorporated
Financial Clerk U.S. Senate
Squire Sanders & Dempsey LLP
Ennis Knupp & Associates Inc
Digital Management Inc.*
Microlink Llc
Purpose
Legal Advisory
Legal Advisory
Legal Advisory
Detailee
Detailee
Subscription Services
Detailee
Administrative Support
Subscription Services
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Subscription Services
Administrative Support
Detailee
Asset Management Services
Asset Management Services
Asset Management Services
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
Oversight Services
Administrative Support
Detailee
Information Technology
Information Technology
FOIA Support Services
Information Technology
Detailee
Disposition Agent Services
Oversight Services
Legal Advisory
Financial Advisory
Information Technology
Information Technology
34
Date Approved
Type of Transaction
4/23/2010
5/4/2010
5/17/2010
6/24/2010
6/30/2010
7/21/2010
7/21/2010
7/22/2010
7/22/2010
7/22/2010
7/27/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/12/2010
8/30/2010
9/1/2010
9/17/2010
9/27/2010
9/30/2010
10/1/2010
10/8/2010
10/14/2010
10/26/2010
11/8/2010
11/18/2010
12/2/2010
12/29/2010
1/5/2011
1/18/2011
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Interagency Agreement
Financial Agent
Vendor
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Reed Elsevier Inc (dba LexisNexis)
The George Washington University
Navigant Consulting Inc.
Regis & Associates PC*
Ernst & Young LLP
PricewaterhouseCoopers LLP-1
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP
Paul Weiss Rfknd Whrtn & Grrsn LLP
Perkins Coie LLP
Seyfarth Shaw LLP
Shulman Rgrs Gndl Pordy & Ecker Pa
Sullivan Cove Reign Enterprises JV*
Venable LLP-1
Knowledge Mosaic Inc.*
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham Mccutchen LLP
Davis Audrey Robinette*
CCH Incorporated
Financial Clerk U.S. Senate
Management Concepts Inc****
Hispanic Assoc Of Coll & Univ*
Government Accountability Office
The Mitre Corporation*
Greenhill & Co., LLC
Addx Corporation*
Reed Elsevier Inc (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Purpose
Information Technology
Administrative Support
Transaction Structuring Services
Subscription Services
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Detailee
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Oversight Services
Administrative Support
Detailees
Oversight Services
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Subscription Services
Administrative Support
Structuring and Disposition Services
35
Date Approved
Type of Transaction
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
3/28/2011
4/20/2011
4/26/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/28/2011
4/28/2011
4/28/2011
5/31/2011
5/31/2011
6/9/2011
6/9/2011
6/17/2011
7/28/2011
9/9/2011
9/12/2011
9/15/2011
9/29/2011
9/29/2011
10/4/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
1/4/2012
1/5/2012
2/2/2012
2/7/2012
2/14/2012
2/27/2012
3/6/2012
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Vendor
Bureau of the Public Debt - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
Fox News Network LLC
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP-1
Oculus Group Inc.*
MorganFranklin Corporation
Lani Eko & Company CPAs LLC*
FI Consulting Inc.*
Ernst & Young LLP
ASR Analytics LLC*
Booz Allen Hamilton Inc.
KPMG LLP
Office of Personnel Management
Reed Elsevier Inc (dba LexisNexis)
West Publishing Corporation
CQ-Roll Call Inc.
ESI International Inc.
Winvale Group LLC
Internal Revenue Service
Financial Management Service
ADC LTD NM
ABMI - All Business Machines, Inc.*****
Knowledge Mosaic Inc.*
Department of Interior
Internal Revenue Service
ABMI - All Business Machines, Inc.*****
Qualx Corporation*
Houlihan Lokey, Inc.
Allison Group LLC*
Department of the Treasury - Departmental Offices
Bureau of the Public Debt - ARC
Government Accountability Office
Office of Personnel Management
Moody's Analytics Inc.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.*
Purpose
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Subscription Services
Litigation Settlement
Financial Reporting
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Training
Subscription Services
Subscription Services
Subscription Services
Administrative Support
Subscription Services
Legal Services
Interns
Legal Services
Administrative Support
Administrative Support
Information Technology
Detailee
Administrative Support
FOIA Support Services
Transaction Structuring Services
Training
Administrative Support
Administrative Support
Administrative Support
Training
Subscription Services
Structuring and Disposition Services
Administrative Support
Financial Advisory
Acquisition Support Services
36
Date Approved
Type of Transaction
3/14/2012
3/30/2012
5/10/2012
6/12/2012
6/15/2012
6/30/2012
7/26/2012
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Vendor
Department of Interior
E-Launch Multimedia, Inc.
Equilar Inc.*
Department of Justice
Qualx Corporation*
West Publishing Corporation
Knowledge Mosaic Inc.*
Purpose
Information Technology
Administrative Support
Subscription Services
Legal Services
Administrative Support
Subscription Services
Administrative Support
* Small or Women-, or Minority-Owned Small Business
**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
**** Previously listed separate contracts for various training.
37
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending July 31, 2012
Name
Amount
Termination of the $5,000,000,000 Master Agreement
between Citigroup and the UST, and FDIC occurred on
December 23, 2009 due to the improvement of Citigroup's
financial condition and financial market stability.
38
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending July 31, 2012
CAPITAL PURCHASE PROGRAM
Seller
Footnote
1b
11, 23 5/26/2010
Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation
Purchase Details
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Charlotte
New York
NC
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
15,000,000,000
3,000,000,000
Par
Par
14
Citigroup Inc.
New York
NY
Common Stock w/ Warrants
$
25,000,000,000
Par
10/28/2008
10/28/2008
10/28/2008
10/28/2008
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
Morgan Stanley
State Street Corporation
Wells Fargo & Company
Bank of Commerce Holdings
1st FS Corporation
UCBH Holdings, Inc.
Northern Trust Corporation
SunTrust Banks, Inc.
New York
New York
New York
Boston
San Francisco
Redding
Hendersonville
San Francisco
Chicago
Atlanta
NY
NY
NY
MA
CA
CA
NC
CA
IL
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
16,369,000
298,737,000
1,576,000,000
3,500,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/14/2008
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
9,000,000
Washington Federal, Inc.
BB&T Corp.
M&T Bank Corporation (Provident Bancshares
Corp.)
Umpqua Holdings Corp.
Comerica Inc.
Regions Financial Corporation
Capital One Financial Corporation
First Horizon National Corporation
Huntington Bancshares
KeyCorp
Seattle
Winston-Salem
WA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
200,000,000
3,133,640,000
Par
Par
Baltimore
MD
Preferred Stock w/ Warrants
$
151,500,000
OR
TX
AL
VA
TN
OH
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
Par
Par
Par
Par
Par
Par
Par
**
4
$
$
15,000,000,000
3,000,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
8/5/2009
Warrants
Warrants
23
$
25,000,000,000
$
0
Warrants
1/25/2011
4
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
$
$
1,576,000,000
3,500,000,000
$
$
0
0
$
$
200,000,000
3,133,640,000
$
$
$
$
$
$
$
$
$
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
$
$
$
$
$
$
$
4
183,547,824
136,000,000
Warrants
A $
54,621,849
6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
9/27/2011
4
7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010
10/26/2011
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
R
A
R
R
A
R
4
5
4
49
Warrants
Warrants
8/26/2009
9/22/2011
0
0
Warrants
Warrants
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
0
0
0
0
0
0
0
11/14/2008
Valley National Bancorp
Wayne
NJ
Preferred Stock w/ Warrants
$
300,000,000
Par
6/17/2009
3/30/2011
4
5/27/2009
6/17/2009
4
2/17/2010
3/17/2010
4/4/2012
6/17/2009
12/22/2010
12/22/2010
3/30/2011
5
4
$
75,000,000
$
225,000,000
9/23/2009
4
$
125,000,000
$
100,000,000
12/23/2009
11/14/2008
4
$
100,000,000
$
4
4
4
4
4
4
4
4
0
$
$
$
$
$
$
1,100,000,000
936,063,469
950,000,000
60,000,000
840,374,892
125,000
Warrants
Warrants
R $
A $
87,000,000
14,069,763
3/9/2010
7/22/2009
Warrants
Warrants
A $
R $
15,388,874
67,010,402
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
3/31/2010
5/6/2010
5/2/2012
12/3/2009
3/9/2011
1/19/2011
4/20/2011
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
5/18/2010
Warrants
11/14/2008
Salt Lake City
UT
Preferred Stock w/ Warrants
$
1,400,000,000
Par
3/28/2012
4
$
700,000,000
$
11/14/2008
Marshall & Ilsley Corporation
Milwaukee
WI
Preferred Stock w/ Warrants
$
1,715,000,000
Par
7/5/2011
44
$
1,715,000,000
$
0
Warrants
7/5/2011
Warrants
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport
MN
MN
NY
SD
FL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
Par
Par
Par
Par
Par
6/17/2009
4/22/2009
5/27/2009
6/3/2009
9/30/2009
4
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
$
$
$
$
$
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Beverly Hills
CA
Preferred Stock w/ Warrants
$
400,000,000
Par
12/30/2009
4
City National Corporation
$
200,000,000
$
4/7/2010
3/3/2010
7/8/2009
9/27/2011
4
$
$
$
200,000,000
41,500,000
140,000,000
$
$
$
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
7/15/2009
12/15/2009
6/24/2009
6/30/2009
10/28/2009
11/21/2008
49
Zions Bancorporation
11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008
44 5/16/2011
1b
Final Disposition
Proceeds
A $
R $
6/3/2009
3a, 72 2/10/2012
Final
Disposition
Date
Par
Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland
12/9/2009
6/17/2009
Capital Repayment
Amount (Loss) 6
Final Disposition
Disposition
Investment
15
Description
Par
11/14/2008
11/14/2008
49
10/28/2008
Capital
Repayment Date
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
11/18/2011
11/18/2011
11/21/2008
11/21/2008
First Community Bancshares Inc.
Western Alliance Bancorporation
Bluefield
Las Vegas
VA
NV
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,500,000
140,000,000
Par
Par
4
5
4
5
5
49
700,000,000
200,000,000
0
0
0
9
9
R
A
R
A
R
R
R
$
$
$
$
$
$
$
4,500,000
181,102,043
45,000,000
146,500,065
79,700,000
49,100,000
70,000,000
A $
5,421,615
44
R $
3,250,000
9
R
A
R
R
R
$
$
$
$
$
139,000,000
9,449,981
2,700,000
650,000
212,000
Warrants
R $
18,500,000
Warrants
Warrants
P $
P $
30,600
415,000
9
39
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
3/3/2010
29 9/24/2010
Webster Financial Corporation
Waterbury
CT
Preferred Stock w/ Warrants
$
400,000,000
Par
$
100,000,000
$
300,000,000
10/13/2010
4
$
100,000,000
$
200,000,000
12/29/2010
11/21/2008
4
4
$200,000,000
$
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
6/2/2011
Warrants
A $
Pacific Capital Bancorp
Santa Barbara
CA
Common Stock w/ Warrants
$
195,045,000
Heritage Commerce Corp.
San Jose
CA
Preferred Stock w/ Warrants
$
40,000,000
Par
3/7/2012
4
$
40,000,000
$
0
Ameris Bancorp
Moultrie
GA
Preferred Stock w/ Warrants
$
52,000,000
Par
6/13/2012
85
$
47,665,332
$
0
Louisville
KY
Preferred Stock w/ Warrants
$
35,000,000
Par
11/21/2008
Banner Corporation
Walla Walla
WA
Preferred Stock w/ Warrants
$
124,000,000
Par
3/28/2012
74
$
108,071,915
$
0
Warrants
11/21/2008
Cascade Financial Corporation
Everett
WA
Preferred Stock w/ Warrants
$
38,970,000
Par
6/30/2011
47
$
16,250,000
$
0
N/A
N/A
N/A
47
11/21/2008
11/21/2008
11/21/2008
11/21/2008
Columbia Banking System, Inc.
Heritage Financial Corporation
First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.
Tacoma
Olympia
Chula Vista
Annapolis
WA
WA
CA
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
76,898,000
24,000,000
19,300,000
23,393,000
Par
Par
Par
Par
8/11/2010
12/22/2010
12/15/2010
4
$
$
$
76,898,000
24,000,000
19,300,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
9/1/2010
8/17/2011
1/5/2011
Warrants
Warrants
Warrants
9
1/13/2010
4
$
50,000,000
$
2/1/2011
6/16/2010
4
$
104,000,000
$
4/6/2011
4
$
262,500,000
$
9/14/2011
4
$
262,500,000
$
0
N/A
Warrants
Porter Bancorp Inc.
-
Warrants
11/21/2008
20,388,842
Par
11/21/2008
74 3/28/2012
47 6/30/2011
11/21/2008
11/21/2008
85 06/13/2012
Final Disposition
Proceeds
Warrants
11/21/2008
11/21/2008
Boston Private Financial Holdings, Inc.
Associated Banc-Corp
Boston
Green Bay
MA
WI
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
154,000,000
525,000,000
Par
4
4
104,000,000
0
262,500,000
Par
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
R $
R $
R $
3,301,647
450,000
1,003,227
Warrants
A $
6,202,523
11/30/2011
Warrants
A $
3,435,006
9
11/21/2008
11/21/2008
86 06/13/2012
66 11/30/2011
14, 20
50
Trustmark Corporation
First Community Corporation
Jackson
Lexington
MS
SC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
215,000,000
11,350,000
Par
Par
12/9/2009
4
$
215,000,000
$
0
Warrants
12/30/2009
Warrants
R $
10,000,000
11/21/2008
Taylor Capital Group
Rosemont
IL
Preferred Stock w/ Warrants
$
104,823,000
Par
6/13/2012
86
$
92,254,460
$
0
Warrants
7/18/2012
Warrants
R $
9,839,273
11/21/2008
BBCN Bancorp, Inc.
(Nara Bancorp, Inc.)
Los Angeles
CA
Preferred Stock w/ Warrants
$
67,000,000
Par
6/27/2012
4
$
67,000,000
$
0
Warrants
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
IL
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation
Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette
3/14/2012
11/23/2011
4
$
$
196,000,000
193,000,000
$
$
0
0
Warrants
Warrants
5/2/2012
12/21/2011
Warrants
Warrants
R $
R $
1,518,072
900,000
9/9/2009
9/27/2011
9/16/2009
3/31/2009
4
$
$
$
$
75,000,000
34,000,000
1,700,000
90,000,000
$
$
$
$
0
0
0
0
12/23/2009
11/18/2011
10/14/2009
5/20/2009
Warrants
Warrants
Warrants
Warrants
R
P
R
R
$
$
$
$
950,000
637,071
63,364
1,200,000
$
15,000,000
$
12/5/2008
Eagle Bancorp, Inc.
Bethesda
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
11/18/2011
Warrants
P $
2,794,422
2/23/2011
Warrants
R $
4,450,000
$
89,388,000
Par
IL
IL
GA
WV
TX
CA
LA
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
196,000,000
193,000,000
180,000,000
75,000,000
34,000,000
1,700,000
90,000,000
Par
Par
Par
Par
Par
Par
Par
MD
Preferred Stock w/ Warrants
$
38,235,000
Par
4
50
4
5
12/23/2009
12/5/2008
Sandy Spring Bancorp, Inc.
Olney
MD
Preferred Stock w/ Warrants
$
83,094,000
Par
5
7/14/2011
49
49
$
23,235,000
$
7/21/2010
4
$
41,547,000
$
$
41,547,000
$
0
Preferred Stock w/
Warrants
Warrants
23,235,000
0
41,547,000
9
Warrants
12/15/2010
12/5/2008
12/5/2008
12
Fernandina Beach
Pasadena
FL
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
9,950,000
306,546,000
Par
Par
12/29/2010
4
$
306,546,000
$
0
Warrants
1/26/2011
Warrants
9
R $
14,500,000
12/5/2008
South Financial Group, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
347,000,000
Par
9/30/2010
26
$
130,179,219
$
0
Warrants
9/30/2010
Warrants
26
R $
400,000
12/5/2008
12/5/2008
12/5/2008
Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.
Springfield
Los Angeles
Winston-Salem
MO
CA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
58,000,000
258,000,000
42,750,000
Par
Par
Par
8/18/2011
50
$
58,000,000
$
0
Warrants
9/21/2011
Warrants
R $
6,436,364
Ontario
CA
Preferred Stock w/ Warrants
$
130,000,000
Par
8/26/2009
4
CVB Financial Corp
$
97,500,000
$
Warrants
R $
1,307,000
4
$
32,500,000 $
0
Preferred Stock w/
Warrants
Warrants
10/28/2009
9/2/2009
89 06/13/2012
75 3/28/2012
17, 54
Coastal Banking Company, Inc.
East West Bancorp
12/5/2008
26 9/30/2010
50
4
32,500,000
12/5/2008
First Defiance Financial Corp.
Defiance
OH
Preferred Stock w/ Warrants
$
37,000,000
Par
6/13/2012
89
$
35,084,144
$
0
Warrants
12/5/2008
First Financial Holdings Inc.
Charleston
SC
Preferred Stock w/ Warrants
$
65,000,000
Par
3/28/2012
75
$
55,926,478
$
0
Warrants
12/5/2008
12/5/2008
12/5/2008
Superior Bancorp Inc.
Southwest Bancorp, Inc.
Popular, Inc.
Birmingham
Stillwater
San Juan
AL
OK
PR
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
$
$
$
69,000,000
70,000,000
935,000,000
9
Par
Par
Par
40
Seller
Footnote
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
50
49
Purchase Date
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
68 - 1/1/2012
12/5/2008
Valley National Bancorp (State Bancorp, Inc.)
Wayne
NJ
Preferred Stock w/ Warrants
$
36,842,000
Par
12/14/2011
4
$
36,842,000
$
0
Warrants
32 9/30/2010
12/5/2008
TIB Financial Corp
Naples
FL
Preferred Stock w/ Warrants
$
37,000,000
Par
9/30/2010
32
$
12,119,637
$
0
Warrants
9/30/2010
Warrants
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Unity Bancorp, Inc.
Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
SVB Financial Group
Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
NJ
MD
FL
WA
CA
IN
NC
WA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
20,649,000
7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
7/15/2009
4
$
7,000,000
$
0
Warrants
9/2/2009
Warrants
R $
225,000
8/11/2011
3/31/2009
1/28/2011
50
$
$
$
13,500,000
100,000,000
41,279,000
$
$
$
0
0
0
Warrants
Warrants
N/A
9/28/2011
5/8/2009
N/A
Warrants
Warrants
N/A
R $
R $
-
560,000
1,200,000
N/A
12/23/2009
5
$
235,000,000
$
0
Warrants
6/16/2010
Warrants
R $
6,820,000
12/12/2008
LNB Bancorp Inc.
Lorain
OH
Preferred Stock w/ Warrants
$
25,223,000
Par
6/13/2012
88
$
21,863,750
$
0
Warrants
7/18/2012
Warrants
R $
860,326
12/12/2008
M&T Bank Corporation (Wilmington Trust
Corporation)
Wilmington
DE
Preferred Stock w/ Warrants
$
330,000,000
Par
5/13/2011
43
$
330,000,000
$
0
Warrants
4/21/2010
4
$
200,000,000
$
1/19/2011
Warrants
R $
5,269,179
12/22/2010
3/31/2009
4
$
$
100,000,000
120,000,000
$
$
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
3/10/2010
Warrants
A $
11,150,940
11/4/2009
4
$
75,000,000
$
0
Warrants
11/24/2009
Warrants
R $
2,650,000
A $
R $
2,857,915
4,753,985
55
24
50
35
88 06/13/2012
43 5/13/2011
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Blue Valley Ban Corp
Central Federal Corporation
Bank of Marin Bancorp
BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.
Overland Park
Fairlawn
Novato
Thomasville
Somerville
Poplar Bluff
KS
OH
CA
NC
MA
MO
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
21,750,000
7,225,000
28,000,000
31,260,000
10,000,000
9,550,000
Par
Par
Par
Par
Par
Par
3/31/2009
4
$
28,000,000
$
0
Warrants
11/18/2011
Warrants
P $
1,703,984
8/25/2011
7/21/2011
50
$
$
10,000,000
9,550,000
$
$
0
0
Warrants
Warrants
10/19/2011
Warrants
R $
2,525,000
R $
40,000
Susquehanna Bancshares, Inc
Lititz
PA
Preferred Stock w/ Warrants
$
300,000,000
Par
49
4
35
4
100,000,000
32
35
9
22
NY
KY
MI
IN
AR
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
120,000,000
18,400,000
300,000,000
21,500,000
75,000,000
Par
Par
Par
Par
Par
Los Angeles
CA
Preferred Stock w/ Warrants
$
55,000,000
Par
6/27/2012
4
$
55,000,000
$
0
Warrants
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Greensboro
Houston
Wilmington
Portsmouth
NC
TX
DE
VA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
52,372,000
125,198,000
45,220,000
76,458,000
Par
Par
Par
Par
5/5/2009
3/10/2010
9/22/2011
4
$
$
$
125,198,000
45,220,000
76,458,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
6/9/2010
9/8/2010
Warrants
Warrants
12/12/2008
Wilshire Bancorp, Inc.
Los Angeles
CA
Preferred Stock w/ Warrants
$
62,158,000
Par
3/28/2012
76
$
57,766,994
$
0
Warrants
6/20/2012
Warrants
R $
760,000
Valley Financial Corporation
Roanoke
VA
16,019,000
Par
12/12/2008
Independent Bank Corporation
Ionia
MI
Preferred Stock w/ Warrants
$
Mandatorily Convertible Preferred Stock w/
$
Warrants
74,426,000
Par
12/28/2011
4
$
23,750,000
$
Preferred Stock w/
Warrants
7/18/2012
Warrants
R $
755,000
6/20/2012
50
76 3/28/2012
New York
Hopkinsville
Flint
Columbus
Little Rock
12/12/2008
66 11/30/2011
Signature Bank
HopFed Bancorp
Citizens Republic Bancorp, Inc.
Indiana Community Bancorp
Bank of the Ozarks, Inc.
BBCN Bancorp, Inc.
(Center Financial Corporation)
NewBridge Bancorp
Sterling Bancshares, Inc.
The Bancorp, Inc.
TowneBank
4
$
71,250,000
$
0
Warrants
4/7/2010
3/16/2011
4
$
$
10,000,000
150,000,000
$
$
0
0
Warrants
Warrants
4/7/2010
4/13/2011
Warrants
Warrants
R $
R $
1,488,046
1,000,000
9/22/2011
50
$
20,500,000
$
0
Warrants
11/9/2011
Warrants
R $
225,157
11/18/2009
4
$
15,000,000
$
0
Warrants
12/16/2009
Warrants
R $
560,000
8/4/2011
49
$
8,500,000
$
0
Warrants
9/14/2011
Warrants
R $
315,000
12/12/2008
12/12/2008
50
70
49
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Pinnacle Financial Partners, Inc.
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
Fidelity Bancorp, Inc.
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.
Enterprise Financial Services Corp.
Mid Penn Bancorp, Inc.
Summit State Bank
Nashville
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Pittsburgh
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
TN
CT
PA
ME
NC
VA
PA
MA
ID
CA
GA
TN
VA
AL
MO
PA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
95,000,000
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
27,000,000
15,600,000
967,870,000
30,000,000
17,680,000
50,000,000
35,000,000
10,000,000
8,500,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
5
50
4
71,250,000
9
9
41
Seller
Footnote
45 - 6/3/2011
Name of Institution
Purchase Date
12/19/2008 VIST Financial Corp.
12/19/2008 Wainwright Bank & Trust Company
Purchase Details
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Wyomissing
Boston
PA
MA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
25,000,000
22,000,000
Par
Par
11/24/2009
4
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
$
22,000,000
$
0
Warrants
12/16/2009
Warrants
$
300,000,000
$
0
Warrants
6/3/2011
Warrants
Final Disposition
Proceeds
R $
568,700
45
R $
6,900,000
81
R $
792,783
P $
143,677
12/19/2008
Whitney Holding Corporation
New Orleans
LA
Preferred Stock w/ Warrants
$
300,000,000
Par
6/3/2011
12/19/2008
The Connecticut Bank and Trust Company
Hartford
CT
Preferred Stock w/ Warrants
$
5,448,000
Par
4/19/2012
81
$
5,448,000
$
0
Warrants
4/19/2012
Warrants
12/19/2008
CoBiz Financial Inc.
Denver
CO
Preferred Stock w/ Warrants
$
64,450,000
Par
9/8/2011
50
$
64,450,000
$
0
Warrants
11/18/2011
Warrants
12/19/2008
Santa Lucia Bancorp
Atascadero
CA
Preferred Stock w/ Warrants
$
4,000,000
Par
10/21/2011
64
$
2,800,000
$
0
N/A
N/A
N/A
12/19/2008
Seacoast Banking Corporation of Florida
Stuart
FL
Preferred Stock w/ Warrants
$
50,000,000
Par
3/28/2012
77
$
40,404,700
$
0
Warrants
5/30/2012
Warrants
R $
55,000
12/19/2008
Horizon Bancorp
Michigan City
IN
Preferred Stock w/ Warrants
$
25,000,000
Par
11/10/2010
8/25/2011
4
50
$
$
6,250,000
18,750,000
$
$
Warrants
11/18/2011
Warrants
P $
1,750,551
92 6/27/2012
12/19/2008
Fidelity Southern Corporation
Atlanta
GA
Preferred Stock w/ Warrants
$
48,200,000
Par
6/27/2012
92
$
42,757,786
$
0
Warrants
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc
Staunton
Pittsfield
Westlake Village
Johnstown
VA
MA
CA
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
12,643,000
40,000,000
25,000,000
21,000,000
Par
Par
Par
Par
5/27/2009
7/14/2011
8/11/2011
4
50
$
$
$
40,000,000
25,000,000
21,000,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
6/24/2009
8/24/2011
11/2/2011
Warrants
Warrants
Warrants
R $
R $
R $
1,040,000
599,042
825,000
12/19/2008
Security Federal Corporation
Aiken
SC
Preferred Stock w/ Warrants
$
18,000,000
Par
9/29/2010
4
$
18,000,000
$
0
Warrants
12/19/2008
12/19/2008
12/19/2008
Wintrust Financial Corporation
Flushing Financial Corporation
Monarch Financial Holdings, Inc.
Lake Forest
Lake Success
Chesapeake
IL
NY
VA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
250,000,000
70,000,000
14,700,000
Par
Par
Par
12/22/2010
10/28/2009
12/23/2009
4
$
$
$
250,000,000
70,000,000
14,700,000
$
$
$
0
0
0
2/8/2011
12/30/2009
2/10/2010
Warrants
Warrants
Warrants
9
A $
R $
R $
25,600,564
900,000
260,000
StellarOne Corporation
Charlottesville
VA
Preferred Stock w/ Warrants
$
30,000,000
Par
4/13/2011
4
12/19/2008
$
7,500,000
$
12/28/2011
4
$
22,500,000
$
0
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
9
R $
450,000
81 4/19/2012
50
64 10/21/2011
77 3/28/2012
50
50
30 9/29/2010
50
50
5
5
18,750,000
0
22,500,000
64
9
-
N/A
12/19/2008
12/19/2008
MO
Preferred Stock w/ Warrants
$
30,255,000
Par
5/9/2012
4
$
12,000,000
$
12/19/2008
12/19/2008
12/19/2008
The Elmira Savings Bank, FSB
Alliance Financial Corporation
Heartland Financial USA, Inc.
Elmira
Syracuse
Dubuque
NY
NY
IA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
9,090,000
26,918,000
81,698,000
Par
Par
Par
8/25/2011
5/13/2009
9/15/2011
49
$
$
$
9,090,000
26,918,000
81,698,000
$
$
$
Citizens First Corporation
Bowling Green
KY
Preferred Stock w/ Warrants
$
8,779,000
Par
2/16/2011
4
$
2,212,308
$
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/23/2008
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp
Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati
IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/27/2011
9/22/2011
49
$
$
87,631,000
15,540,000
$
$
0
0
Preferred Stock
2
Preferred Stock
9/27/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
7/27/2012
7/27/2012
102
$
$
25,313,186
37,259,393
$
$
0
0
Preferred Stock
2
Preferred Stock
2
7/27/2012
7/27/2012
Preferred Stock
Preferred Stock
2, 7
7/27/2012
104
$
32,013,328
$
0
Preferred Stock
2
7/27/2012
Preferred Stock
2, 7
P $
1,725,103
9/22/2011
2/24/2010
50
$
$
9,294,000
80,000,000
$
$
0
0
Preferred Stock 2
Warrants
9/22/2011
6/2/2010
Preferred Stock
Warrants
2, 7
R $
A $
465,000
2,966,288
San Jose
CA
Preferred Stock w/ Warrants
$
23,864,000
Par
2/23/2011
4
Bridge Capital Holdings
$
15,000,000
$
Preferred Stock w/
Warrants
4/20/2011
Warrants
R $
1,395,000
3/16/2011
2
2, 49
2, 49
2, 3
2
2
2, 102
2, 103
2
2
2, 104
2
2
2, 50
Lee's Summit
12/23/2008
50
Hawthorn Bancshares, Inc.
12/19/2008
49
Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
12/19/2008
18
4
$
8,864,000
$
7/11/2011
4
$
40,000,000
$
176,000,000
230,000,000
12/7/2011
5/2/2012
Warrants
Warrants
R $
R $
51,113
2,842,400
12/19/2008
Bowling Green
VA
Preferred Stock w/ Warrants
$
59,000,000
Par
11/18/2009
5
$
59,000,000
$
0
Warrants
12/23/2009
Warrants
Mount Pleasant
Providence
SC
RI
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
14,448,000
30,000,000
Par
Par
8/5/2009
4
$
30,000,000
$
0
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
9/30/2009
Warrants
R $
1,400,000
6/17/2009
9/28/2011
Warrants
Warrants
R $
R $
900,000
1,800,000
R $
R $
4,382,000
777,000
P $
P $
1,450,171
2,054,215
4
50
49
103
5
12/23/2008
Laredo
TX
Preferred Stock w/ Warrants
$
216,000,000
Par
12/23/2008
First Sound Bank
Seattle
WA
Preferred Stock w/ Warrants
$
7,400,000
M&T Bank Corporation
Buffalo
NY
Preferred Stock w/ Warrants
$
600,000,000
Par
5/18/2011
4
$
370,000,000
$
12/23/2008
12/23/2008
Emclaire Financial Corp.
Park National Corporation
Emlenton
Newark
PA
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
7,500,000
100,000,000
Par
Par
8/18/2011
4/25/2012
49
$
$
7,500,000
100,000,000
$
$
0
0
0
6,566,692
8,864,000
0
2
2, 7
2, 7
9
Warrants
Preferred Stock w/
Warrants
Par
12/23/2008
49
International Bancshares Corporation
18,255,000
4
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
42
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Footnote
Purchase Date
59 - 9/7/2011
12/23/2008
Green Bankshares, Inc.
Greeneville
TN
Preferred Stock w/ Warrants
$
72,278,000
Par
12/23/2008
Cecil Bancorp, Inc.
Elkton
MD
Preferred Stock w/ Warrants
$
11,560,000
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Par
Warsaw
NY
Preferred Stock w/ Warrants
$
37,515,000
$
68,700,000
$
4
$
12,505,000
$
3/30/2011
Financial Institutions, Inc.
59
2/23/2011
12/23/2008
9/7/2011
4
$
25,010,000
$
0
59
Warrants
0
25,010,000
Par
N/A
N/A
5/11/2011
Warrants
R $
2,079,963
9/8/2010
Preferred Stock w/
Warrants
N/A
-
N/A
Warrants
R $
10,800,000
R $
900,194
12/23/2008
Fulton Financial Corporation
Lancaster
PA
Preferred Stock w/ Warrants
$
376,500,000
Par
7/14/2010
4
$
376,500,000
$
0
Warrants
30 - 9/3/2010
12/23/2008
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock w/ Warrants
$
10,300,000
Par
9/3/2010
4
$
10,300,000
$
0
Warrants
50
12/23/2008
12/23/2008
12/23/2008
MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.
Muncie
Baltimore
Rochester
IN
MD
MN
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
32,382,000
10,800,000
26,000,000
Par
Par
Par
8/25/2011
1/26/2011
50
$
$
32,382,000
10,800,000
$
$
0
0
Warrants
Warrants
9/28/2011
Warrants
12/23/2008
First Community Bank Corporation of America
Pinellas Park
FL
Preferred Stock w/ Warrants
$
10,685,000
Par
5/31/2011
39
$
7,754,267
$
0
N/A
N/A
N/A
12/23/2008
12/23/2008
Sterling Bancorp
Intervest Bancshares Corporation
New York
New York
NY
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
42,000,000
25,000,000
Par
Par
4/27/2011
4
$
42,000,000
$
0
Warrants
5/18/2011
Warrants
R $
945,775
12/23/2008
Peoples Bancorp of North Carolina, Inc.
Newton
NC
Preferred Stock w/ Warrants
$
25,054,000
Par
6/27/2012
93
$
23,033,635
$
0
Warrants
1/3/2012
67
$
31,762,000
$
0
Warrants
10/27/2010
11/24/2010
4
$
$
12,000,000
11,300,000
$
$
0
0
Warrants
Warrants
11/18/2011
12/1/2010
Warrants
Warrants
P $
R $
326,576
319,659
8/20/2010
4
$
5,500,000
$
0
N/A
N/A
N/A
7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
11/24/2009
6/8/2011
8/18/2011
49
$
$
$
$
$
$
$
$
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
3,455,000
3,455,000
6,885,000
$
$
$
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
8/18/2011
Preferred Stock
$
$
4,700,000
4,767,000
$
$
0
0
Preferred Stock
Preferred Stock 2
2
12/30/2010
7/14/2011
$
$
$
$
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
$
$
$
$
0
0
0
0
Preferred Stock
Warrants
Warrants
Warrants
$
0
393/11/2011
93 6/27/2012
67 12/29/2011
2
2
2
2
3, 30 8/20/2010
2
2
2, 49
2, 49
2
2
2, 49
2, 49
2
2
2
2, 49
2, 61
2
2, 50
31 9/30/2010
16
Hermitage
PA
Preferred Stock w/ Warrants
$
31,762,000
Par
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
F.N.B. Corporation (Parkvale Financial
Corporation)
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Uwharrie Capital Corp
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle
WA
NJ
NJ
IL
CA
OR
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
12/23/2008
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
NC
CA
VA
CA
OH
MA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
Par
Par
Par
Par
Par
Par
Par
12/23/2008
12/23/2008
Magna Bank
Memphis
TN
Preferred Stock w/ Exercised Warrants
$
13,795,000
Par
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/31/2008
12/31/2008
12/31/2008
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.
Fifth Third Bancorp
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
Pittsburgh
Cincinnati
CA
OH
MD
UT
CA
TN
CA
GA
PA
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
7,290,000
2,600,000
4,700,000
4,767,000
10,400,000
3,000,000
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/31/2008
Hampton Roads Bankshares, Inc.
Norfolk
VA
Common Stock w/ Warrants
$
80,347,000
CIT Group Inc.
New York
NY
Contingent Value Rights
$
2,330,000,000
Par
4
49
4
4
49
4
4
49
0
0
0
0
0
10,340,000
6,885,000
0
-
N/A
-
2, 7
$
$
$
$
$
150,000
90,000
100,000
292,000
748,000
2, 7
R $
690,000
Preferred Stock
Preferred Stock
2, 7
R $
R $
235,000
238,000
7/28/2011
9/22/2011
4/29/2010
3/16/2011
Preferred Stock
Warrants
Warrants
Warrants
2, 7
N/A
N/A
2, 7
2, 7
2, 7
2, 7
R
R
R
R
R
N/A
Par
12/31/2008
4
12/30/2010
7/14/2011
4
49
7/28/2011
3/30/2011
2/10/2010
2/2/2011
50
2/8/2010
16
4
4
4
$
0
N/A
2
2, 7
R
A
A
R
$
$
$
$
580,000
15,996,899
320,277,984
280,025,936
N/A
43
Seller
Footnote
Purchase Date
12/31/2008
12/31/2008
1/9/2009
1/9/2009
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
87 06/13/2012
1/9/2009
1/9/2009
West Des Moines
Clayton
Charlotte
Akron
IA
MO
NC
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
36,000,000
295,400,000
10,000,000,000
125,000,000
Par
Par
Par
Par
6/29/2011
4
$
36,000,000
$
0
Warrants
8/31/2011
Warrants
12/9/2009
4/22/2009
4
$
$
10,000,000,000
125,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
5/27/2009
Warrants
Warrants
Farmers Capital Bank Corporation
Frankfort
KY
Preferred Stock w/ Warrants
$
30,000,000
Par
6/13/2012
87
$
21,594,229
$
0
Warrants
7/18/2012
1/6/2010
2
1a, 1b
West Bancorporation, Inc.
First Banks, Inc.
Bank of America Corporation
FirstMerit Corporation
4
$
7,172,000
$
21,513,000
3/2/2011
4
$
7,172,000
$
14,341,000
4
$
$
14,341,000
5,000,000
$
$
Peapack-Gladstone Financial Corporation
Gladstone
NJ
Preferred Stock w/ Warrants
$
28,685,000
Par
4
1/9/2009
Newport Beach
CA
Preferred Stock w/ Warrants
$
5,000,000
Par
1/9/2009
The First Bancorp, Inc.
Damariscotta
ME
Preferred Stock w/ Warrants
$
25,000,000
Par
8/24/2011
4
$
12,500,000
$
1/9/2009
65 11/15/2011
Commerce National Bank
1/11/2012
10/7/2009
Sun Bancorp, Inc.
Crescent Financial Bancshares, Inc.
(Crescent Financial Corporation)
American Express Company
Vineland
NJ
Preferred Stock w/ Warrants
$
89,310,000
Par
4/8/2009
4
$
89,310,000
$
0
Cary
NC
Preferred Stock w/ Warrants
$
24,900,000
New York
NY
Preferred Stock w/ Warrants
$
3,388,890,000
Par
6/17/2009
4
$
3,388,890,000
$
0
6/17/2011
46
$
35,883,281
$
3/29/2012
46
$
36,039,222
$
0
4/22/2009
3/4/2011
10/21/2009
9/15/2011
9/9/2009
4
$
$
$
$
$
78,158,000
38,000,000
13,400,000
10,000,000
100,000,000
$
$
$
$
$
0
0
0
0
0
Warrants
N/A
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
33
49
700,000
A $
R $
122,365,216
5,025,000
Warrants
R $
75,000
4/4/2012
Warrants
R $
110,000
5/27/2009
Warrants
R $
2,100,000
7/29/2009
Warrants
R $
340,000,000
5/27/2009
N/A
11/18/2011
12/7/2011
11/18/2011
Warrants
N/A
Warrants
Warrants
Warrants
R $
P $
R $
P $
2,200,000
N/A
602,557
245,000
690,100
1b
Warrants
1/9/2009
37, 46 3/29/2012
R $
Par
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
Central Pacific Financial Corp.
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation
Honolulu
St. Louis
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage
HI
MO
VA
GA
MA
MS
OH
NJ
PA
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
135,000,000
32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
4
0
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Final Disposition
Proceeds
12,500,000
99,116,719
Par
Par
Par
Par
Par
Par
Par
Par
Par
33
4
49
4
Warrants
Common Stock w/
Warrants
7/27/2011
50
49
49
2
2
2, 49
2, 49
2
3
2, 49
2
2
2
2
2, 49
2, 50
2
2
2
49
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
C&F Financial Corporation
North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
The Queensborough Company
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Surrey Bancorp
Independence Bank
Valley Community Bank
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation
Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
West Point
Fort Dodge
Greensboro
Troy
Elizabethtown
York
Lafayette
Chattanooga
Easton
Louisville
Great Bend
Riverside
San Diego
Morehead City
San Luis Obispo
Redwood Falls
Mount Airy
East Greenwich
Pleasanton
Rising Sun
Ruston
Greenville
Jacksonville
Cayce
New York
Conway
Oak Harbor
Newport
Bar Harbor
VA
IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
MD
LA
SC
TX
SC
NY
AR
WA
NH
ME
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
20,000,000
10,200,000
16,000,000
65,000,000
20,000,000
16,500,000
20,000,000
33,000,000
25,000,000
12,000,000
6,000,000
6,815,000
5,803,000
3,070,000
5,116,000
2,995,000
2,000,000
1,065,000
5,500,000
5,983,000
24,000,000
9,000,000
3,981,000
3,285,000
267,274,000
50,000,000
26,380,000
10,000,000
18,751,000
$
10,000,000
$
4/11/2012
1/9/2009
4
4
$
10,000,000
$
0
Warrants
12/14/2011
4
$
10,200,000
$
0
Warrants
1/11/2012
Warrants
R $
600,000
9/1/2011
50
$
65,000,000
$
0
Warrants
11/18/2011
Warrants
P $
924,462
8/18/2011
8/25/2011
49
$
$
16,500,000
20,000,000
$
$
0
0
Warrants
Warrants
9/28/2011
11/18/2011
Warrants
Warrants
R $
P $
526,604
206,557
4/15/2009
4
$
25,000,000
$
0
Warrants
11/16/2011
Warrants
R $
25,000
11/2/2011
9/15/2011
7/14/2011
4
$
$
$
6,000,000
6,815,000
5,803,000
$
$
$
0
0
0
Preferred Stock
2
Preferred Stock
Preferred Stock 2
11/2/2011
9/15/2011
7/14/2011
Preferred Stock
Preferred Stock
Preferred Stock
R $
R $
R $
300,000
341,000
290,000
$
$
$
5,116,000
2,995,000
2,000,000
$
$
$
0
0
0
N/A
Preferred Stock
2
Preferred Stock
N/A
8/18/2011
12/29/2010
N/A
Preferred Stock
Preferred Stock
R $
R $
N/A
150,000
100,000
$
$
$
24,000,000
9,000,000
3,981,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
7/6/2011
9/8/2011
5/19/2010
Preferred Stock
Preferred Stock
Preferred Stock
R $
R $
R $
1,200,000
450,000
199,000
$
$
$
$
50,000,000
26,380,000
10,000,000
18,751,000
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
Warrants
7/27/2011
3/2/2011
2/15/2012
7/28/2010
Warrants
Warrants
Warrants
Warrants
R
R
R
R
1,300,000
1,625,000
737,100
250,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/28/2011
8/18/2011
12/29/2010
49
49
49
4
49
4
7/6/2011
9/8/2011
5/19/2010
49
7/6/2011
1/12/2011
8/25/2011
2/24/2010
4
50
4
4
49
5
2
2
2
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
9
9
$
$
$
$
44
Seller
Footnote
Purchase Date
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
5/20/2009
5/20/2009
12/7/2011
4
Par
Par
5/13/2009
18,980,000
Par
$
26,440,000
Preferred Stock w/ Warrants
$
TX
Preferred Stock w/ Warrants
Tecumseh
MI
96 6/27/2012
Old Second Bancorp, Inc.
Aurora
1/16/2009
Pulaski Financial Corp
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
2
2
2
2, 50
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
Final Disposition
Proceeds
$
$
$
0
0
0
Warrants
Warrants
Warrants
6/24/2009
6/24/2009
Warrants
Warrants
R $
R $
275,000
1,400,000
4
$
75,000,000
$
0
Warrants
3/11/2010
Warrants
A $
6,559,066
8/27/2010
4
$
18,980,000
$
0
N/A
N/A
N/A
Par
8/4/2010
4
$
26,440,000
$
0
Warrants
9/1/2010
Warrants
R $
400,000
57,000,000
Par
3/28/2012
78
$
52,277,171
$
0
Warrants
$
45,000,000
Par
6/27/2012
95
$
43,490,360
$
0
Warrants
Preferred Stock w/ Warrants
$
20,600,000
Par
6/13/2012
91
$
16,750,221
$
0
Warrants
7/18/2012
Warrants
R $
38,000
IL
Preferred Stock w/ Warrants
$
73,000,000
Par
Creve Coeur
MO
Preferred Stock w/ Warrants
$
32,538,000
Par
6/27/2012
96
$
28,460,338
$
0
Warrants
OceanFirst Financial Corp.
Community 1st Bank
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
Pacific Coast National Bancorp
Toms River
Roseville
The Woodlands
Morgantown
Quincy
San Clemente
NJ
CA
TX
WV
IL
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
38,263,000
2,550,000
11,730,000
15,000,000
10,000,000
4,120,000
Par
Par
Par
Par
Par
Par
12/30/2009
5
$
38,263,000
$
0
Warrants
2/3/2010
Warrants
9
R $
430,797
3/31/2009
9/8/2011
2/11/2010
4
15,000,000
10,000,000
0
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
N/A
4/15/2009
9/8/2011
N/A
Preferred Stock
Preferred Stock
N/A
2, 7
50
$
$
$
R $
R $
750,000
500,000
N/A
1/16/2009
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
Par
9/29/2010
4
$
1,747,000
$
0
N/A
N/A
N/A
-
N/A
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank
Eureka
Boise
Boise
Bellevue
CA
ID
ID
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
3,800,000
8,000,000
6,900,000
4,500,000
Par
Par
Par
Par
7/21/2011
49
$
3,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
190,000
8/11/2011
12/15/2010
9/15/2011
49
$
$
$
4,500,000
3,000,000
2,658,000
$
$
$
0
2,658,000
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
225,000
2,7
R $
283,000
$
$
12,500,000
37,500,000
$
$
37,500,000
0
Preferred Stock 2
Preferred Stock 2
6/29/2011
Preferred Stock
2, 7
R $
2,500,000
2
5/27/2009
Preferred Stock
2, 7
R $
600,000
NJ
SC
PA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
7,414,000
64,779,000
108,676,000
17,949,000
Par
Par
Par
Par
1/16/2009
First BanCorp
San Juan
PR
Common Stock w/ Warrants
$
424,174,000
Par
Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation
Dallas
Elkin
TX
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
75,000,000
36,000,000
1/16/2009
Carver Bancorp, Inc
New York
NY
Preferred Stock
$
Citizens & Northern Corporation
Wellsboro
PA
Preferred Stock w/ Warrants
1/16/2009
MainSource Financial Group, Inc.
Greensburg
IN
1/16/2009
MetroCorp Bancshares, Inc.
Houston
1/16/2009
United Bancorp, Inc.
1/16/2009
78 3/28/2012
95 6/27/2012
91 06/13/2012
Final Disposition
Disposition
Investment
15
Description
7,414,000
64,779,000
108,676,000
Bernardsville
Columbia
Indiana
Engelhard
1/16/2009
3, 30 8/27/2010
Capital Repayment
Amount (Loss) 6
Final
Disposition
Date
$
$
$
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
ECB Bancorp, Inc.
1/16/2009
1/16/2009
28 10/07/2011
Capital
Repayment Date
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
2, 49
1/16/2009
United Financial Banking Companies, Inc.
Vienna
VA
Preferred Stock w/ Exercised Warrants
$
5,658,000
Par
2
2
2
1/16/2009
1/16/2009
1/16/2009
Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce
Kansas City
Baraboo
Charlotte
MO
WI
NC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
146,053,000
20,749,000
3,000,000
1/16/2009
State Bankshares, Inc.
Fargo
ND
$
50,000,000
Par
2
2
3, 30 8/6/2010
2
2, 36
1/16/2009
1/16/2009
BNCCORP, Inc.
First Manitowoc Bancorp, Inc.
Bismarck
Manitowoc
ND
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
20,093,000
12,000,000
1/16/2009
Southern Bancorp, Inc.
Arkadelphia
AR
Preferred Stock
$
1/16/2009
1/16/2009
1/23/2009
1/23/2009
1/23/2009
Morrill Bancshares, Inc.
Treaty Oak Bancorp, Inc.
1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation
Merriam
Austin
South Bend
Princeton
Gastonia
KS
TX
IN
IL
NC
Preferred Stock w/ Exercised Warrants
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
1/23/2009
First Citizens Banc Corp
Sandusky
OH
1/23/2009
WSFS Financial Corporation
Wilmington
1/23/2009
Commonwealth Business Bank
Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)
4
19
4
94 6/27/2012
79 3/28/2012
2
2, 13 12/4/2009
1/23/2009
2
1/23/2009
CalWest Bancorp
2
2
2
2
2
2
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Fresno First Bank
First ULB Corp.
Alarion Financial Services, Inc.
Midland States Bancorp, Inc.
Moscow Bancshares, Inc.
Farmers Bank
49
9/15/2011
Preferred Stock
-
2, 7
N/A
Par
Par
Par
2
4
8/12/2009
6/29/2011
4
Par
Par
5/27/2009
4
$
12,000,000
$
0
11,000,000
Par
8/6/2010
4
$
11,000,000
$
0
N/A
N/A
N/A
$
$
$
$
$
13,000,000
3,268,000
111,000,000
25,083,000
3,500,000
Par
Par
Par
Par
Par
7/20/2011
2/15/2011
12/29/2010
4
$
$
$
13,000,000
500,000
111,000,000
$
$
$
0
0
0
Preferred Stock 2
Warrants
Warrants
7/20/2011
Preferred Stock
36
3/9/2011
Warrants
Preferred Stock w/ Warrants
$
23,184,000
Par
6/27/2012
94
$
20,689,633
$
0
Warrants
DE
Preferred Stock w/ Warrants
$
52,625,000
Par
3/28/2012
79
$
47,435,299
$
0
Warrants
Los Angeles
CA
Preferred Stock w/ Exercised Warrants
$
7,701,000
Par
Orlando
FL
Preferred Stock w/ Exercised Warrants
$
5,677,000
Par
CA
Preferred Stock w/ Exercised Warrants
$
4,656,000
Par
CA
CA
FL
IL
TN
VA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
1,968,000
4,900,000
6,514,000
10,189,000
6,216,000
8,752,000
Par
Par
Par
Par
Par
Par
4/22/2009
4
$
4,900,000
$
0
2
4/22/2009
Preferred Stock
12/23/2009
4/25/2012
4
$
$
10,189,000
1,100,000
$
$
2
12/23/2009
Preferred Stock
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
Moscow
Windsor
Preferred Stock w/ Exercised Warrants
4
4
0
5,116,000
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock 2
2, 7
N/A
R $
650,000
R $
3,750,000
2, 7
R $
245,000
2, 7
R $
509,000
45
Seller
Footnote
2
2, 51
2
2, 50
2
2, 49
2, 49
Purchase Date
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
2
2
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi
CA
WA
MO
AR
MN
MS
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000
Par
Par
Par
Par
Par
Par
Par
1/23/2009
FPB Financial Corp.
Hammond
LA
Preferred Stock w/ Exercised Warrants
$
3,240,000
Par
1/23/2009
Stonebridge Financial Corp.
West Chester
PA
Preferred Stock w/ Exercised Warrants
$
10,973,000
Peoples Bancorp Inc.
Marietta
OH
Preferred Stock w/ Warrants
$
39,000,000
Par
4
$
3,300,000
$
0
Preferred Stock
2
12/8/2010
Preferred Stock
2, 7
R $
165,000
7/21/2011
50
$
57,500,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
2,875,000
9/8/2011
8/25/2011
12/16/2009
6/16/2010
49
$
$
$
$
15,500,000
5,000,000
1,000,000
2,240,000
$
$
$
$
0
0
2,240,000
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
9/8/2011
8/25/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
775,000
250,000
6/16/2010
Preferred Stock
2, 7
R $
162,000
2/2/2011
4
$
21,000,000
$
18,000,000
2/15/2012
Warrants
R $
1,200,724
4
$
18,000,000
$
0
Preferred Stock w/
Warrants
Warrants
12/23/2009
5
$
22,000,000
$
0
Warrants
11/18/2011
Warrants
P $
301,001
8/18/2011
50
$
7,000,000
$
0
Warrants
9/28/2011
Warrants
R $
185,017
9/1/2011
49
$
10,000,000
$
0
Warrants
10/26/2011
Warrants
R $
107,398
8/11/2011
6/13/2012
49
$
$
9,000,000
5,000,000
$
$
0
12,000,000
10/26/2011
Warrants
R $
460,000
4,076,000
9/21/2011
Warrants
R $
458,000
7/18/2012
Warrants
R $
1,946,670
2
3/21/2012
Preferred Stock
2, 7
R $
385,000
Preferred Stock
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
2
7/21/2011
Preferred Stock
2, 7
R $
636,000
6/27/2012
Preferred Stock
2, 7
R $
300,000
Par
1/30/2009
12/8/2010
12/28/2011
California Oaks State Bank
Pierce County Bancorp
Calvert Financial Corporation
Liberty Bancshares, Inc.
Crosstown Holding Company
BankFirst Capital Corporation
Southern Illinois Bancorp, Inc.
49
4
4
2, 7
49
49
49
97 6/27/2012
2
2
2
2, 49
2
3, 53
2
2
2, 49
2
2, 49
2
2, 50
2, 50
2
2, 49
2, 13 10/30/2009,
49
Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp
Guaranty Federal Bancshares, Inc.
Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
WI
NJ
VA
MI
VA
CA
IL
CA
CA
NJ
NC
MD
NJ
MO
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243,815,000
7,000,000
11,949,000
10,000,000
7,700,000
30,000,000
9,000,000
17,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
1/30/2009
50
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Annapolis Bancorp, Inc.
Annapolis
MD
Preferred Stock w/ Warrants
$
8,152,000
Par
4/18/2012
4
$
4,076,000
$
1/30/2009
DNB Financial Corporation
Downingtown
PA
Preferred Stock w/ Warrants
$
11,750,000
Par
8/4/2011
49
$
11,750,000
$
0
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
1/30/2009
Firstbank Corporation
Alma
MI
Preferred Stock w/ Warrants
$
33,000,000
Par
6/27/2012
97
$
30,587,530
$
0
Warrants
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Valley Commerce Bancorp
Greer Bancshares Incorporated
Ojai Community Bank
Adbanc, Inc
Visalia
Greer
Ojai
Ogallala
CA
SC
CA
NE
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
7,700,000
9,993,000
2,080,000
12,720,000
Par
Par
Par
Par
3/21/2012
4
$
7,700,000
$
0
7/21/2011
7/6/2011
10/19/2011
3/7/2012
6/6/2012
6/27/2012
49
$
$
$
$
$
$
12,720,000
1,500,000
1,500,000
1,500,000
1,200,000
300,000
$
$
$
$
$
$
6/16/2010
4
$
10,900,000
$
0
Preferred Stock
2
6/16/2010
Preferred Stock
2, 7
R $
545,000
8/18/2011
49
$
10,449,000
$
0
Preferred Stock 2
8/18/2011
Preferred Stock
2, 7
R $
522,000
8/11/2011
49
$
8,950,000
$
0
Preferred Stock
2
8/11/2011
Preferred Stock
2, 7
R $
450,000
9/15/2011
9/22/2011
50
$
$
110,000,000
3,674,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
5,500,000
184,000
8/11/2011
49
$
8,750,000
$
0
Preferred Stock
2
8/11/2011
Preferred Stock
2, 7
R $
438,000
8/4/2011
49
$
6,633,000
$
0
Preferred Stock
2
8/4/2011
Preferred Stock
2, 7
R $
332,000
1/30/2009
Beach Business Bank
Manhattan Beach
CA
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.
Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita
WI
FL
NE
ME
AR
KS
CO
WA
IN
AZ
KS
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
5,498,000
10,900,000
7,525,000
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
1/30/2009
WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)
Reston
VA
Preferred Stock w/ Exercised Warrants
$
6,633,000
Par
4
4
4
4
4
4
50
0
4,500,000
3,000,000
1,500,000
300,000
0
Preferred Stock
2, 7
46
Seller
Footnote
2
2
2, 49
2, 49
2
2
2, 50
Purchase Date
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009
Purchase Details
Name of Institution
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.
City
Houston
Summit
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City
State
TX
NJ
NH
MD
GA
TN
PA
IA
Capital Repayment Details
Investment Amount
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
5,800,000
4,000,000
10,000,000
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000
Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Capital
Repayment Date
7/6/2011
4/21/2010
9/15/2011
8/11/2011
4
4
49
49
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
2
Final Disposition
Disposition
Investment
15
Description
$
$
$
$
5,800,000
4,000,000
10,000,000
4,734,000
$
$
$
$
0
0
0
0
Preferred Stock
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
7/6/2011
4/21/2010
9/15/2011
8/11/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
$
$
2,600,000
16,000,000
$
$
0
0
9/15/2011
7/27/2011
Preferred Stock
Warrants
Oak Ridge
NJ
Preferred Stock w/ Warrants
$
59,000,000
Par
2/29/2012
Warrants
N/A
N/A
3/16/2011
Preferred Stock
2, 7
R $
778,000
2, 7
R $
R $
250,000
175,000
50
4
$
20,000,000
$
39,000,000
3/16/2011
4
$
20,000,000
$
19,000,000
2/8/2012
Lakeland Bancorp, Inc.
9/15/2011
7/6/2011
8/4/2010
2/6/2009
2, 7
4
$
19,000,000
$
0
Preferred Stock 2
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
9/29/2010
4
$
5,000,000
$
0
4
$
3,000,000
$
0
N/A
$
$
4,000,000
11,568,000
$
$
$
$
5,000,000
3,500,000
$
$
0
0
Preferred Stock
Preferred Stock 2
2/15/2012
8/4/2011
Preferred Stock
Preferred Stock
2, 7
290,000
200,000
500,000
237,000
R $
R $
130,000
1,000,000
2,800,000
Warrants
8/13/2010
2, 7
$
$
$
$
R $
2, 7
R
R
R
R
Final Disposition
Proceeds
4
2, 7
2/6/2009
Monarch Community Bancorp, Inc.
Coldwater
MI
Preferred Stock w/ Warrants
$
6,785,000
Par
2/6/2009
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock w/ Warrants
$
5,000,000
Par
2/6/2009
2/6/2009
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
Lincolnton
Juneau
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
4,000,000
4,781,000
Par
Par
2/6/2009
PGB Holdings, Inc.
Chicago
IL
Preferred Stock
$
3,000,000
Par
2/6/2009
The Freeport State Bank
Harper
KS
Preferred Stock w/ Exercised Warrants
$
301,000
Par
2/6/2009
Stockmens Financial Corporation
Rapid City
SD
$
15,568,000
Par
1/14/2011
3/16/2011
4
2
2
2
2, 49
2
3, 30 9/24/2010
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.
Garden Grove
Gering
Boston
Versailles
CA
NE
MA
KY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
2,861,000
5,000,000
3,500,000
6,300,000
Par
Par
Par
Par
2/15/2012
8/4/2011
4
2/6/2009
Liberty Financial Services, Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
Par
9/24/2010
4
$
5,645,000
$
0
N/A
N/A
N/A
-
N/A
2/6/2009
Lone Star Bank
Union First Market Bankshares Corporation
(First Market Bank, FSB)
Banner County Ban Corporation
Centrix Bank & Trust
Todd Bancshares, Inc.
Georgia Commerce Bancshares, Inc.
First Bank of Charleston, Inc.
F & M Financial Corporation
The Bank of Currituck
CedarStone Bank
Community Bancshares of Mississippi, Inc.
(Community Holding Company of Florida, Inc.)
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack Community Bank)
Houston
TX
Preferred Stock w/ Exercised Warrants
$
3,072,000
Par
Bowling Green
VA
Preferred Stock
$
33,900,000
Par
12/7/2011
4
$
35,595,000
$
0
N/A
N/A
N/A
-
N/A
Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
NE
NH
KY
GA
WV
NC
NC
TN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
795,000
7,500,000
4,000,000
8,700,000
3,345,000
17,000,000
4,021,000
3,564,000
Par
Par
Par
Par
Par
Par
Par
Par
7/28/2011
7/28/2011
49
$
$
795,000
7,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/28/2011
7/28/2011
Preferred Stock
Preferred Stock
2, 7
2/16/2011
7/21/2011
4
$
$
8,700,000
3,345,000
$
$
0
0
Preferred Stock
2
Preferred Stock
2
2/16/2011
7/21/2011
Preferred Stock
Preferred Stock
2, 7
N/A
N/A
N/A
34
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
1,050,000
Par
Philadelphia
PA
Preferred Stock w/ Exercised Warrants
$
1,552,000
Par
Westwood
NJ
Preferred Stock w/ Exercised Warrants
$
3,756,000
Par
10/19/2011
Preferred Stock
2, 7
Preferred Stock w/ Exercised Warrants
$
8,559,000
Par
7/27/2012
Preferred Stock
11/16/2011
30 9/29/2010
3, 30 8/13/2010
2
Preferred Stock w/ Exercised Warrants
18
2/6/2009
2, 49
2, 49
2
2
2, 50
2
2, 34
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2, 101
2/6/2009
2
2, 13 2/10/2010
2/6/2009
2, 105
2/6/2009
First Western Financial, Inc.
Denver
CO
49
2/13/2009
QCR Holdings, Inc.
Moline
IL
Preferred Stock w/ Warrants
$
38,237,000
Par
2/13/2009
Westamerica Bancorporation
San Rafael
CA
Preferred Stock w/ Warrants
$
83,726,000
Par
2/6/2009
4
49
49
50
11,568,000
0
12/3/2010
34
$
1,742,850
$
0
10/19/2011
4
$
3,756,000
$
0
-
N/A
2
Preferred Stock
Preferred Stock 2
2
Preferred Stock
2
2, 7
2, 7
2, 7
R $
R $
40,000
375,000
R $
R $
435,000
167,000
-
N/A
R $
188,000
P $
351,052
Warrants
R $
1,100,000
11/18/2011
Warrants
P $
878,256
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
R $
R $
240,000
220,000
2, 7,
Crestview Hills
KY
Preferred Stock w/ Warrants
$
34,000,000
Par
2/13/2009
2/13/2009
58 10/21/2011
2, 49
2, 49
2
2
PremierWest Bancorp
Carrollton Bancorp
Medford
Baltimore
OR
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,400,000
9,201,000
FNB United Corp.
Asheboro
NC
Common Stock w/ Warrants
$
51,500,000
First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.
Neenah
Los Angeles
Horn Lake
Waynesville
WI
CA
MS
MO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
4,797,000
4,400,000
1,173,000
2,152,000
Par
Par
Par
Par
$
9/2/2009
4
$
41,863,000
$
4
$
41,863,000
$
12/22/2010
4
$
17,000,000
$
4
$
17,000,000
$
0
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
9/15/2011
9/1/2011
49
$
$
4,797,000
4,400,000
$
$
0
0
Preferred Stock
2
Preferred Stock
0
41,863,000
0
17,000,000
Par
2/13/2009
2/13/2009
2/13/2009
2/13/2009
38,237,000
Par
Par
2/13/2009
$
11/23/2011
The Bank of Kentucky Financial Corporation
49
11/18/2009
2/13/2009
9/15/2011
105
49
2
2, 7
2, 7
47
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Footnote
Purchase Date
2, 30 9/29/2010
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
2
2
2, 50
2
2
2
2
2, 62
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp
Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden
SC
AR
WY
CO
CA
MO
SC
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000
Par
Par
Par
Par
Par
Par
Par
Par
2, 30 9/24/2010
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
2, 115
2
2
2, 49
2
2, 50
2
2
2
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/20/2009
Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.
Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth
MO
KY
MO
KS
WA
MO
TN
PA
WA
PA
27, 49, 50
2/20/2009
First Merchants Corporation
Muncie
IN
2, 25
2, 50
2, 49
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Northern States Financial Corporation
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California
Waukegan
Sonoma
Woodsville
Los Angeles
IL
CA
NH
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/20/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
1,998,000
Par
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp
Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville
GA
AR
CA
WY
PA
WI
MN
AL
MO
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/20/2009
BancPlus Corporation
Ridgeland
MS
Preferred Stock w/ Exercised Warrants
$
48,000,000
Par
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/27/2009
Central Community Corporation
First BancTrust Corporation
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation
Temple
Paris
Riverside
Tampa
Hoschton
Warsaw
TX
IL
CA
FL
GA
IN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
22,000,000
7,350,000
4,000,000
9,495,000
7,000,000
56,044,000
Par
Par
Par
Par
Par
Par
2/27/2009
First M&F Corporation
Kosciusko
MS
Preferred Stock w/ Warrants
$
30,000,000
2/27/2009
Southern First Bancshares, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
IN
TN
CT
CA
CO
IA
TX
WI
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
2
2
2
2, 49
2
30 9/29/2010
98 6/27/2012
14, 57
2
2, 49
2, 49
2, 49
2
2
2
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
9/29/2010
4
7/21/2011
8/3/2011
$
15,000,000
50
$
5,000,000
$
62
$
18,000,000
$
Preferred Stock 2
9/29/2010
Preferred Stock
0
Preferred Stock 2
7/21/2011
Preferred Stock
0
Preferred Stock
8/3/2011
Preferred Stock
$
0
2
R $
750,000
2, 7
R $
250,000
2, 7
R $
900,000
R $
110,000
R $
R $
35,000
50,000
R $
1,095,000
P $
367,500
R $
R $
346,000
273,000
R $
100,000
R $
625,000
R $
2,400,000
R $
R $
P $
475,000
350,000
877,557
R $
1,100,000
R $
R $
R $
240,000
200,000
113,000
R $
37,000
30a
2, 7,
First Choice Bank
2
2
2
2
2
2
2
2
2, 49
2
2, 30 9/29/2010
Capital Repayment
Amount (Loss) 6
Final
Disposition
Date
2, 7,
2/13/2009
2, 30 9/29/2010
Capital
Repayment Date
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
9/24/2010
4
11/10/2009
9/1/2011
4
49
$
2,200,000
$
0
N/A
9/24/2010
Preferred Stock
$
$
700,000
985,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
11/10/2009
9/1/2011
Preferred Stock
Preferred Stock
2, 7
Preferred Stock
8/18/2011
Preferred Stock
2, 7
11/18/2011
Warrants
30a
2, 7
8/18/2011
50
$
21,900,000
$
0
9/22/2011
9/22/2011
50
$
$
69,600,000
46,400,000
$
$
0
0
Warrants
9/15/2011
9/1/2011
50
$
$
6,920,000
5,450,000
$
$
0
0
Preferred Stock
2
Preferred Stock
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
9/29/2010
4
$
1,998,000
$
2
9/29/2010
Preferred Stock
9/22/2011
49
$
12,500,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
9/29/2010
4
$
48,000,000
$
0
2
9/29/2010
Preferred Stock
1/18/2012
4
$
3,675,000
$
9/22/2011
4/13/2011
6/9/2010
49
$
$
$
9,495,000
7,000,000
56,044,000
$
$
$
0
0
0
Preferred Stock
2
Preferred Stock
Warrants
9/22/2011
4/13/2011
11/18/2011
Preferred Stock
Preferred Stock
Warrants
Par
9/29/2010
4
$
30,000,000
$
0
Warrants
17,299,000
Par
6/27/2012
98
$
15,403,722
$
0
Warrants
7/25/2012
Warrants
83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731,000
10,900,000
Par
Par
Par
Par
Par
Par
Par
Par
8/4/2011
9/15/2011
9/22/2011
49
$
$
$
4,797,000
4,000,000
2,260,000
$
$
$
0
0
0
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
8/4/2011
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
4/14/2010
4
$
731,000
$
0
Preferred Stock
2
4/14/2010
Preferred Stock
2, 7
49
49
2
2
2, 7
2, 7
2, 7,
0
Preferred Stock
30a
2, 7
2, 7,
4
5
49
49
3,675,000
Preferred Stock
30a
Preferred Stock 2
2
2, 7
2, 7
2, 7
2, 7
48
Seller
Footnote
2
2, 49
2
2
2
2
2
2, 49
2
2, 49
2, 30 9/29/2010
Purchase Date
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Purchase Details
Name of Institution
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.
Green Circle Investments, Inc.
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
City
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
Clive
Minneapolis
Nowata
Garland
Salt Lake City
State
CA
ID
PA
MO
NE
IA
MN
OK
TX
UT
Capital Repayment Details
Investment Amount
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
3,976,000
19,891,000
23,000,000
651,000
7,570,000
2,400,000
4,960,000
2,655,000
22,500,000
11,800,000
Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Capital
Repayment Date
19,891,000
$
0
Preferred Stock
2
9/27/2011
Preferred Stock
2, 7
R $
995,000
7/14/2010
4
$
651,000
$
0
Preferred Stock 2
7/14/2010
Preferred Stock
2, 7
R $
33,000
7/21/2011
49
$
2,655,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
133,000
7/21/2011
49
$
11,800,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
590,000
R $
464,000
R $
R $
R $
370,000
299,000
600,000
2, 7,
LA
Preferred Stock w/ Exercised Warrants
$
9,270,000
Par
9/29/2010
4
2/27/2009
2/27/2009
2/27/2009
Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp
Nashville
Ellicott City
South San Francisco
TN
MD
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
7,400,000
5,983,000
12,000,000
Par
Par
Par
9/15/2011
9/22/2011
9/15/2011
49
2/27/2009
The Victory Bancorp, Inc.
(The Victory Bank)
Limerick
PA
Preferred Stock w/ Exercised Warrants
$
541,000
Par
9/22/2011
50
2/27/2009
2/27/2009
3/6/2009
3/6/2009
Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation
Rock Hill
Atlanta
Loris
Urbana
NY
GA
SC
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
3,000,000
5,222,000
12,895,000
100,000,000
Par
Par
Par
Par
42 - 5/3/2011
3/6/2009
First Federal Bancshares of Arkansas, Inc.
Harrison
AR
Preferred Stock w/ Warrants
$
16,500,000
3/6/2009
Citizens Bancshares Corporation
Atlanta
GA
Preferred Stock
$
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.
Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill
CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
FL
FL
IN
FL
KS
FL
WI
GA
OH
CT
CA
IL
SC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
3/13/2009
First American International Corp.
Brooklyn
NY
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
BancIndependent, Inc.
Haviland Bancshares, Inc.
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.
Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit
AL
KS
FL
KY
VA
MO
WI
3, 30 8/13/2010
2, 49
2
2
2
2
2
2
Final Disposition
Proceeds
$
Many
49
49
Final Disposition
Disposition
Investment
15
Description
49
PSB Financial Corporation
3, 30 8/13/2010
2
2, 49
2
2
2
2, 62
2
2
2, 49
2, 49
2
2
2, 71
2
2
2
2, 106
2
Final
Disposition
Date
9/27/2011
2/27/2009
2, 49
2, 49
2, 50
2, 13 12/4/2009,
49
2, 49
2
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
9,270,000
$
0
Preferred Stock
$
$
$
7,400,000
5,983,000
12,000,000
$
$
$
0
0
0
49
$
541,000
$
7/21/2011
49
$
3,000,000
8/25/2011
50
$
Par
5/3/2011
42
7,462,000
Par
8/13/2010
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Preferred Stock
$
17,000,000
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
21,100,000
425,000
10,000,000
3,370,000
13,900,000
3,000,000
10,000,000
2
9/29/2010
Preferred Stock
Preferred Stock
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/22/2011
9/15/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
0
Preferred Stock 2
9/22/2011
Preferred Stock
2, 7
R $
27,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
150,000
100,000,000
$
0
Warrants
11/18/2011
Warrants
P $
63,677
$
6,000,000
$
0
N/A
N/A
N/A
4
$
7,462,000
$
0
N/A
N/A
N/A
9/15/2011
49
$
13,533,000
$
0
Preferred Stock 2
9/15/2011
Preferred Stock
2, 7
R $
677,000
9/7/2011
62
$
1,881,000
$
0
Preferred Stock 2
9/7/2011
Preferred Stock
2, 7
R $
94,000
7/14/2011
9/15/2011
49
$
$
10,000,000
2,492,000
$
$
0
0
Preferred Stock 2
2
Preferred Stock
7/14/2011
9/15/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
500,000
125,000
7/18/2012
4
$
500,000
$
0
Preferred Stock 2
7/18/2012
Preferred Stock
2, 7
R $
25,000
7/27/2012
106
$
16,772,382
$
0
Preferred Stock
2
7/27/2012
Preferred Stock
2, 7
P $
896,039
8/25/2011
9/15/2011
4/21/2010
49
$
$
$
8,816,000
17,390,000
1,224,558,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
11/2/2011
11/16/2011
7/7/2010
Warrants
Warrants
Warrants
R $
R $
R $
205,000
375,000
172,000,000
Par
8/13/2010
4
$
17,000,000
$
0
N/A
N/A
N/A
Par
Par
Par
Par
Par
Par
Par
7/14/2011
12/29/2010
11/18/2009
49
$
$
$
21,100,000
425,000
10,000,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
7/14/2011
12/29/2010
11/18/2009
Preferred Stock
Preferred Stock
Preferred Stock
49
50
49
49
4
4
4
2
2
30a
2, 7
2, 7
N/A
-
2, 7
2, 7
2, 7
2, 7
R $
R $
R $
N/A
N/A
1,055,000
21,000
500,000
49
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Footnote
Purchase Date
2, 3a 11/13/2009
30 - 9/3/2010
3/13/2009
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
Par
9/3/2010
4
$
6,000,000
$
0
N/A
N/A
N/A
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
Butler Point, Inc.
Bank of George
Moneytree Corporation
Sovereign Bancshares, Inc.
First Intercontinental Bank
Heritage Oaks Bancorp
Community First Bancshares Inc.
First NBC Bank Holding Company
First Colebrook Bancorp, Inc.
Kirksville Bancorp, Inc.
Peoples Bancshares of TN, Inc
Premier Bank Holding Company
Citizens Bank & Trust Company
Farmers & Merchants Financial Corporation
Farmers State Bankshares, Inc.
SBT Bancorp, Inc.
CSRA Bank Corp.
Trinity Capital Corporation
Clover Community Bankshares, Inc.
Pathway Bancorp
Colonial American Bank
MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado
Catlin
Las Vegas
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
Kirksville
Madisonville
Tallahassee
Covington
Argonia
Holton
Simsbury
Wrens
Los Alamos
Clover
Cairo
West Conshohocken
Kingwood
Frontenac
Glenwood Springs
IL
NV
TN
TX
GA
CA
TN
LA
NH
MO
TN
FL
LA
KS
KS
CT
GA
NM
SC
NE
PA
TX
MO
CO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
607,000
2,672,000
9,516,000
18,215,000
6,398,000
21,000,000
20,000,000
17,836,000
4,500,000
470,000
3,900,000
9,500,000
2,400,000
442,000
700,000
4,000,000
2,400,000
35,539,000
3,000,000
3,727,000
574,000
7,723,000
3,700,000
70,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/2/2011
4
$
607,000
$
0
Preferred Stock 2
11/2/2011
Preferred Stock
2, 7
R $
30,000
9/15/2011
9/22/2011
50
$
$
9,516,000
18,215,000
$
$
0
0
Preferred Stock
2
Preferred Stock
2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
476,000
911,000
8/18/2011
8/4/2011
9/22/2011
49
$
$
$
20,000,000
17,836,000
4,500,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
2
8/18/2011
8/4/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
1,000,000
892,000
225,000
7/21/2011
8/11/2011
50
$
$
700,000
4,000,000
$
$
0
0
Preferred Stock 2
2
Preferred Stock
7/21/2011
8/11/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
40,000
200,000
7/27/2012
107
$
26,396,503
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
2, 7
P $
1,655,787
4
$
$
$
574,000
7,723,000
3,700,000
$
$
$
0
0
0
Preferred Stock
2
Preferred Stock
Preferred Stock 2
10/26/2011
10/19/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
29,000
386,000
185,000
3/27/2009
Naples Bancorp, Inc.
Naples
FL
Preferred Stock w/ Exercised Warrants
$
4,000,000
Par
7/12/2012
99
$
600,000
$
0
N/A
N/A
N/A
3/27/2009
3/27/2009
3/27/2009
3/27/2009
CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Maryland Financial Bank
Russellville
Irving
Bristow
Towson
AL
TX
OK
MD
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
24,300,000
2,295,000
30,000,000
1,700,000
Par
Par
Par
Par
7/27/2012
108
$
21,776,396
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
4/3/2009
First Capital Bancorp, Inc.
Glen Allen
VA
Preferred Stock w/ Warrants
$
10,958,000
Par
6/13/2012
90
$
9,931,327
$
0
Warrants
4/3/2009
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
2,795,000
Par
8/13/2010
4
$
2,795,000
$
0
N/A
N/A
N/A
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
4/10/2009
4/10/2009
4/10/2009
4/10/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
First Business Bank, N.A.
SV Financial, Inc.
Capital Commerce Bancorp, Inc.
Metropolitan Capital Bancorp, Inc.
Bank of the Carolinas Corporation
Penn Liberty Financial Corp.
Tifton Banking Company
Patterson Bancshares, Inc
BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
Birmingham Bloomfield Bancshares, Inc
Vision Bank - Texas
Oregon Bancorp, Inc.
Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
San Diego
Sterling
Milwaukee
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
MO
MO
IA
CO
TN
KS
AR
AL
NJ
CA
IL
WI
IL
NC
PA
GA
LA
NY
CO
MI
MI
TX
OR
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
2,211,000
4,000,000
5,100,000
2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
1,635,000
1,500,000
3,216,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/15/2011
50
$
3,100,000
$
0
Preferred Stock
2
9/15/2011
Preferred Stock
2, 7
R $
155,000
4/4/2012
4
$
2,117,000
$
0
Preferred Stock
2
4/4/2012
Preferred Stock
2, 7
R $
106,000
8/31/2011
4
$
4,000,000
$
0
Preferred Stock
2
8/31/2011
Preferred Stock
2, 7
R $
200,000
9/1/2011
49
$
9,960,000
$
0
Preferred Stock
2
9/1/2011
Preferred Stock
2, 7
R $
498,000
3/7/2012
4
$
250,000
$
Preferred Stock
2
7/28/2011
49
$
1,635,000
$
7/28/2011
Preferred Stock
2, 7
R $
82,000
2
2
2, 50
2, 49
2
2, 49
2, 49
2, 49
2
2
2
2
2
2, 50
2, 49
2
2, 107
2
2
2
2
2, 49
2
2, 99 7/12/2012
2, 108
2
2
2
90 06/13/2012
2, 3, 30 8/13/2010
2, 50
2
2
2, 84
2
2
2
2
2, 3
2
2
2
2
2, 49
2, 52
2
2
2
2, 49
2
2
10/26/2011
10/19/2011
9/22/2011
49
49
49
49
4
49
3,440,000
0
2
Preferred Stock 2
-
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
N/A
N/A
2, 7
P $
-
1,107,825
N/A
50
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Footnote
Purchase Date
2, 83
4/24/2009
Peoples Bancorporation, Inc.
Easley
SC
Preferred Stock w/ Exercised Warrants
$
12,660,000
Par
2
2
2
2, 50
2, 49
2
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
Indiana Bank Corp.
Business Bancshares, Inc.
Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Allied First Bancorp, Inc.
Dana
Clayton
Hickory Hills
York
Tulsa
Oswego
IN
MO
IL
PA
OK
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
1,312,000
15,000,000
60,000,000
4,871,000
4,000,000
3,652,000
Par
Par
Par
Par
Par
Par
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
2, 7,
8
4/24/2009
Frontier Bancshares, Inc.
Austin
TX
2
2
2, 50
2
5/1/2009
5/1/2009
5/1/2009
5/1/2009
5/1/2009
Village Bank and Trust Financial Corp
CenterBank
Georgia Primary Bank
Union Bank & Trust Company
HPK Financial Corporation
Midlothian
Milford
Atlanta
Oxford
Chicago
VA
OH
GA
NC
IL
8
5/1/2009
OSB Financial Services, Inc.
Orange
TX
8
5/1/2009
Security State Bank Holding-Company
Jamestown
ND
5/8/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
5/8/2009
5/8/2009
One Georgia Bank
Gateway Bancshares, Inc.
8
5/8/2009
Freeport Bancshares, Inc.
8
5/8/2009
Investors Financial Corporation of Pettis County, IncSedalia
MO
8, 49
5/8/2009
Sword Financial Corporation
Horicon
WI
3, 8, 30 8/13/2010
5/8/2009
Premier Bancorp, Inc.
Wilmette
IL
Subordinated Debentures w/ Exercised
Warrants
4/24/2012
83
5/23/2012
3,000,000
12,660,000
$
4
$
6,000,000
$
7/14/2011
9/8/2011
50
$
$
4,871,000
4,000,000
$
$
11/24/2009
$
$
4
$
1,600,000
$
49
0
9,000,000
0
0
1,400,000
Par
Preferred Stock 2
4/24/2012
Preferred Stock
Preferred Stock 2
Preferred Stock 2
7/14/2011
9/8/2011
Preferred Stock
Preferred Stock
Subordinated
8
Debentures
Subordinated
Debentures 8
10/6/2010
Subordinated
Debentures 8
9/22/2011
Preferred Stock
R $
633,000
R $
R $
244,000
200,000
7
R $
150,000
2, 7
R $
160,000
7
R $
305,000
83
Preferred Stock 2
10/6/2010
4
$
1,400,000
$
0
9/22/2011
50
$
3,194,000
$
0
Preferred Stock
10/5/2011
4
$
6,100,000
$
0
Subordinated
Debentures 8
10/5/2011
Subordinated
Debentures 8
2, 7
2, 7
5/15/2009
2
2
2
2
2
2, 50
2
3, 8, 30 9/10/2010
Mercantile Bank Corporation
$
$
$
$
$
14,738,000
2,250,000
4,500,000
3,194,000
4,000,000
Par
Par
Par
Par
Par
$
6,100,000
Par
$
10,750,000
Par
NJ
Preferred Stock w/ Exercised Warrants
$
3,091,000
Par
9/22/2011
49
$
3,091,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
2, 7
R $
155,000
Atlanta
Ringgold
GA
GA
$
$
5,500,000
6,000,000
Par
Par
4/13/2012
80
$
6,000,000
$
0
Preferred Stock 2
4/13/2012
Preferred Stock
2, 7
R $
300,000
Freeport
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
3,000,000
Par
$
4,000,000
Par
$
13,644,000
Par
9/15/2011
49
$
13,644,000
$
0
Subordinated
Debentures 8
9/15/2011
Subordinated
Debentures 8
7
R $
682,000
$
6,784,000
Par
8/13/2010
4
$
6,784,000
$
0
N/A
N/A
N/A
4/4/2012
4
$
10,500,000
$
Preferred Stock w/
Warrants
7/3/2012
Warrants
6/6/2012
2, 13 8/31/2010,
49
2, 56
2, 80
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
4
$
10,500,000
$
0
Warrants
4
$
1,341,000
$
0
Preferred Stock 2
3/28/2012
Preferred Stock
$
4,862,000
$
0
Preferred Stock
9/8/2011
Preferred Stock
4
$
4,205,000 $
0
N/A
N/A
Grand Rapids
MI
Subordinated Debentures
Preferred Stock w/ Warrants
$
21,000,000
Par
10,500,000
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
Northern State Bank
Western Reserve Bancorp, Inc
Community Financial Shares, Inc.
Worthington Financial Holdings, Inc.
First Community Bancshares, Inc
Southern Heritage Bancshares, Inc.
Foresight Financial Group, Inc.
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford
NJ
OH
IL
AL
KS
TN
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
1,341,000
4,700,000
6,970,000
2,720,000
14,800,000
4,862,000
15,000,000
Par
Par
Par
Par
Par
Par
Par
3/28/2012
5/15/2009
IBC Bancorp, Inc.
Chicago
IL
Subordinated Debentures
$
4,205,000
Par
9/10/2010
8
5/15/2009
Boscobel Bancorp, Inc
Boscobel
WI
$
5,586,000
5/15/2009
Brogan Bankshares, Inc.
Kaukauna
WI
$
2,400,000
5/15/2009
Riverside Bancshares, Inc.
Little Rock
AR
$
1,100,000
5/15/2009
Deerfield Financial Corporation
Deerfield
WI
$
2,639,000
Par
9/8/2011
49
$
2,639,000
$
0
8, 109
5/15/2009
Market Street Bancshares, Inc.
Mt. Vernon
IL
$
20,300,000
Par
7/27/2012
109
$
18,069,213
$
0
2, 49
2
2, 82
2
2, 49
2
2
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
The Landrum Company
First Advantage Bancshares Inc.
Fort Lee Federal Savings Bank
Blackridge Financial, Inc.
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.
Columbia
Coon Rapids
Fort Lee
Fargo
Chicago
Bloomfield
Washington
$
$
$
$
$
$
$
15,000,000
1,177,000
1,300,000
5,000,000
6,272,000
9,900,000
5,097,000
Par
Par
Par
Par
Par
Par
Par
8/18/2011
49
$
15,000,000
$
0
6/27/2012
9/22/2011
4
$
$
2,250,000
6,272,000
$
$
R $
7,465,100
2, 7
R $
67,000
2, 7
R $
243,000
Par
8, 49
N/A
Par
8
-
Par
8
2
MO
MN
NJ
ND
IL
IN
MO
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
9/8/2011
49
2,750,000
0
2
N/A
Subordinated
Debentures 8
Subordinated
8
Debentures
Preferred Stock 2
8/18/2011
Subordinated
Debentures 8
Subordinated
8
Debentures
Preferred Stock
9/22/2011
Preferred Stock
9/8/2011
7/27/2012
-
N/A
7
R $
132,000
7
P $
824,731
2, 7
R $
750,000
2, 7
R $
314,000
2
Preferred Stock
Preferred Stock 2
51
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
8, 110
5/22/2009
Commonwealth Bancshares, Inc.
Louisville
KY
8
5/22/2009
Premier Financial Corp
Dubuque
IA
8
5/22/2009
F & C Bancorp, Inc.
Holden
MO
8, 111
5/22/2009
Diamond Bancorp, Inc.
Washington
MO
8
5/22/2009
United Bank Corporation
Barnesville
GA
49
2
2, 63
2
2
2, 49
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
Community Bank Shares of Indiana, Inc.
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group
New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington
IN
CA
IL
MO
CO
IA
8
5/29/2009
Fidelity Bancorp, Inc
Baton Rouge
LA
8
5/29/2009
Chambers Bancshares, Inc.
Danville
AR
2
6/5/2009
Covenant Financial Corporation
Clarksdale
MS
8
6/5/2009
First Trust Corporation
New Orleans
LA
8, 10
6/5/2009
OneFinancial Corporation
Little Rock
AR
6/12/2009
Customers Bancorp, Inc.
(Berkshire Bancorp, Inc.)
Phoenixville
PA
6/12/2009
First Vernon Bancshares, Inc.
Vernon
2
2, 10
2, 49
6/12/2009
6/12/2009
6/12/2009
SouthFirst Bancshares, Inc.
Virginia Company Bank
Enterprise Financial Services Group, Inc.
8, 10, 49
6/12/2009
8
Capital Repayment Details
Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Subordinated
8
Debentures
7/27/2012
110
$
15,147,000
$
0
Par
7/27/2012
111
$
14,780,662
$
0
14,400,000
Par
7/3/2012
4
$
14,400,000
$
0
$
$
$
$
$
$
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000
Par
Par
Par
Par
Par
Par
9/15/2011
1/26/2011
49
$
$
19,468,000
1,800,000
$
$
0
0
Preferred Stock
9/1/2011
49
$
12,000,000
$
0
$
3,942,000
19,817,000
Par
$
5,000,000
Par
$
17,969,000
Par
$
17,300,000
Par
Preferred Stock w/ Exercised Warrants
$
2,892,000
Par
12/28/2011
4
$
2,892,000
$
AL
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
9/29/2010
4
$
Sylacauga
Newport News
Allison Park
AL
VA
PA
$
$
$
2,760,000
4,700,000
4,000,000
Par
Par
Par
8/25/2011
49
First Financial Bancshares, Inc.
Lawrence
KS
$
3,756,000
Par
9/22/2011
6/12/2009
River Valley Bancorporation, Inc.
Wausau
WI
$
15,000,000
Par
2, 49
2, 10
6/19/2009
6/19/2009
Merchants and Manufacturers Bank Corporation
RCB Financial Corporation
Joliet
Rome
IL
GA
$
$
3,510,000
8,900,000
Par
Par
8
6/19/2009
Manhattan Bancshares, Inc.
Manhattan
IL
$
2,639,000
Par
8, 10
6/19/2009
Biscayne Bancshares, Inc.
Coconut Grove
FL
$
6,400,000
Par
8
6/19/2009
Duke Financial Group, Inc.
Minneapolis
MN
$
12,000,000
Par
8
6/19/2009
Farmers Enterprises, Inc.
Great Bend
KS
$
12,000,000
Par
8
6/19/2009
Century Financial Services Corporation
Santa Fe
NM
$
10,000,000
Par
8
6/19/2009
NEMO Bancshares Inc.
Madison
MO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
2,330,000
Par
3, 8, 30 7/30/2010
6/19/2009
University Financial Corp, Inc.
St. Paul
MN
$
11,926,000
Par
8
6/19/2009
Suburban Illinois Bancorp, Inc.
Elmhurst
IL
6/26/2009
Hartford Financial Services Group, Inc.
Hartford
6/26/2009
Veritex Holdings, Inc.
(Fidelity Resources Company)
6/26/2009
6/26/2009
Subordinated
Debentures 8
Final Disposition
Proceeds
Par
$
Final Disposition
Disposition
Investment
15
Description
2, 60 09/19/2011
2, 10, 30 9/29/2010
2, 40 3/23/2011,
49
2, 10
2
2, 10, 30 9/29/2010
2
2, 50
2, 10
$
20,400,000
Par
$
6,349,000
2,993,000
20,445,000
$
P $
898,722
7
P $
779,576
7
R $
720,000
R $
R $
1,100,870
90,000
Par
$
7
Par
$
7/27/2012
10/19/2011
1/26/2011
Subordinated
Debentures 8
Subordinated
8
Debentures
Warrants
Preferred Stock
Preferred Stock 2
9/1/2011
Preferred Stock
2, 7
R $
600,000
0
Preferred Stock 2
12/28/2011
Preferred Stock
2, 7
R $
145,000
6,000,000 $
0
Preferred Stock
9/29/2010
Preferred Stock
R $
245,000
$
4,000,000
$
0
8/25/2011
R $
200,000
$
3,756,000
$
0
Preferred Stock
Subordinated
Debentures 8
2, 7
49
7
R $
113,000
6/6/2012
4
$
10,500,000
$
9/8/2011
49
$
3,510,000
$
0
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
2
Preferred Stock
9/8/2011
Preferred Stock
2, 7
R $
176,000
7/30/2010
4
$
11,926,000
$
0
N/A
N/A
N/A
4
Subordinated
8
Debentures
Subordinated
8
Debentures
Warrants
7/27/2012
7/3/2012
2
2, 7
2, 7,
Subordinated Debentures
4,500,000
2
9/22/2011
$
15,000,000
$
3,400,000,000
Par
3/31/2010
4
$
3,400,000,000
$
0
Warrants
9/21/2010
Warrants
Dallas
TX
Preferred Stock w/ Exercised Warrants
$
3,000,000
Par
8/25/2011
49
$
3,000,000
$
0
Preferred Stock 2
8/25/2011
Preferred Stock
Waukesha Bankshares, Inc.
FC Holdings, Inc.
Waukesha
Houston
WI
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,625,000
21,042,000
Security Capital Corporation
Batesville
MS
Preferred Stock w/ Exercised Warrants
$
17,388,000
Par
9/29/2010
4
$
17,388,000 $
0
Preferred Stock
2
9/29/2010
Preferred Stock
6/26/2009
6/26/2009
6/26/2009
First Alliance Bancshares, Inc.
Gulfstream Bancshares, Inc.
Gold Canyon Bank
Cordova
Stuart
Gold Canyon
TN
FL
AZ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
3,422,000
7,500,000
1,607,000
Par
Par
Par
8/18/2011
50
0
Preferred Stock
2
8/18/2011
Preferred Stock
N/A
Par
Par
6/26/2009
-
Par
CT
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
30a
A $
2, 7
706,264,560
R $
150,000
R $
522,000
R $
375,000
2, 7,
$
7,500,000
$
30a
2, 7
52
Seller
Footnote Purchase Date
2, 3, 10, 30 6/26/2009
8/20/2010
2, 41 6/26/2009
3/30/2011
2, 41 6/26/2009
3/30/2011
2
6/26/2009
Purchase Details
Name of Institution
City
State
M&F Bancorp, Inc.
Durham
NC
Metropolitan Bank Group, Inc.
Chicago
Chicago
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
8/20/2010
4
$
11,735,000 $
0
Par
1/18/2012
4
$
24,900,000
$
0
1,700,000
Par
12/15/2010
4
$
1,700,000
$
0
$
35,000,000
Par
7/25/2012
4
$
35,000,000
$
0
$
12,000,000
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Par
Preferred Stock
$
11,735,000
Par
IL
Preferred Stock w/ Exercised Warrants
$
74,706,000
Par
IL
Preferred Stock w/ Exercised Warrants
$
7,186,000
Par
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
2,986,000
Par
$
24,900,000
$
Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)
Alliance Bancshares, Inc.
Dalton
GA
N/A
N/A
N/A
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
12/15/2010
0
Warrants
9/16/2010
Warrants
0
0
Preferred Stock 2
Preferred Stock 2
8/18/2011
9/15/2011
Preferred Stock
Preferred Stock
1/18/2012
8
6/26/2009
Stearns Financial Services, Inc.
St. Cloud
MN
8
6/26/2009
Signature Bancshares, Inc.
Dallas
TX
8
6/26/2009
Fremont Bancorporation
Fremont
CA
8
6/26/2009
Alliance Financial Services Inc.
Saint Paul
MN
7/10/2009
Lincoln National Corporation
Radnor
PA
Preferred Stock w/ Warrants
$
950,000,000
Par
6/30/2010
4
$
950,000,000
$
2, 10, 49
2, 49
2
2, 3
7/10/2009
7/17/2009
7/17/2009
7/17/2009
Bancorp Financial, Inc.
Brotherhood Bancshares, Inc.
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation
Oak Brook
Kansas City
Fayetteville
Baltimore
IL
KS
GA
MD
$
$
$
$
13,669,000
11,000,000
12,900,000
6,800,000
Par
Par
Par
Par
8/18/2011
9/15/2011
49
$
$
13,669,000
11,000,000
$
$
8
7/17/2009
First South Bancorp, Inc.
Lexington
TN
$
50,000,000
Par
9/28/2011
4
$
13,125,000
$
36,875,000
7/17/2009
Great River Holding Company
Baxter
MN
$
8,400,000
7/17/2009
Plato Holdings Inc.
Saint Paul
MN
$
2,500,000
2, 10
2
Yadkin Valley Financial Corporation
Community Bancshares, Inc.
Florida Bank Group, Inc.
Elkin
Kingman
Tampa
NC
AZ
FL
$
$
$
13,312,000
3,872,000
20,471,000
7/24/2009
First American Bank Corporation
Elk Grove Village
IL
$
50,000,000
Par
12/21/2011
4
$
15,000,000
$
35,000,000
7/31/2009
Chicago Shore Corporation
Chicago
IL
$
7,000,000
7/31/2009
Financial Services of Winger, Inc.
Winger
MN
$
3,742,000
Par
9/1/2011
49
$
3,742,000
$
0
2, 49
2
2
2
8/7/2009
8/7/2009
8/14/2009
8/21/2009
The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.
Terrell
Miami
Eden Prairie
Smithfield
TX
FL
MN
NC
$
$
$
$
20,000,000
50,236,000
1,004,000
4,000,000
Par
Par
Par
Par
8/25/2011
49
$
20,000,000
$
0
Subordinated
8
Debentures
Preferred Stock 2
8
8/21/2009
AmFirst Financial Services, Inc.
McCook
NE
$
5,000,000
8/28/2009
8/28/2009
8/28/2009
First Independence Corporation
First Guaranty Bancshares, Inc.
CoastalSouth Bancshares, Inc.
Detroit
Hammond
Hilton Head Island
MI
LA
SC
$
$
$
3,223,000
20,699,000
16,015,000
Par
Par
Par
9/22/2011
49
$
20,699,000
$
0
Preferred Stock
8, 10, 50
8/28/2009
TCB Corporation
Greenwood
SC
$
9,720,000
Par
9/8/2011
50
$
9,720,000
$
0
8, 10, 49
9/4/2009
The State Bank of Bartley
Bartley
NE
$
1,697,000
Par
9/22/2011
49
$
1,697,000
$
0
49
9/11/2009
Pathfinder Bancorp, Inc.
Oswego
NY
$
6,771,000
Par
9/1/2011
49
$
6,771,000
$
0
85,000
7
R $
1,750,000
A $
213,671,319
R $
R $
410,000
550,000
7
R $
112,000
2, 7
R $
1,000,000
2, 7
R $
1,030,000
7
R $
292,000
7
R $
51,000
R $
537,633
R $
2,600,000
Par
2, 3
2, 49
2, 10
R $
Par
8, 10, 49
7
Subordinated
8
Debentures
2
1,245,000
Par
Par
Par
8
R $
Par
7/24/2009
7/24/2009
7/24/2009
7
Par
8, 10
N/A
Subordinated
Debentures 8
8
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
-
2, 30 9/29/2010
49
7/25/2012
2
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
8/25/2011
Subordinated
8
Debentures
Preferred Stock
9/22/2011
Preferred Stock
9/1/2011
9/8/2011
9/22/2011
2/1/2012
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
2, 7
2, 7
2, 7,
9/11/2009
Community Bancshares of Mississippi, Inc.
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
9/29/2010
4
$
52,000,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
30a
53
Seller
Footnote Purchase Date
2, 10, 100 9/11/2009
7/17/2012
2, 10, 50
9/11/2009
8, 30 9/11/2009
9/17/2010
2, 10
9/18/2009
2, 10
9/18/2009
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Heartland Bancshares, Inc.
Franklin
IN
Preferred Stock w/ Exercised Warrants
$
7,000,000
Par
7/17/2012
100
$
7,000,000
$
0
Preferred Stock
2
7/17/2012
Preferred Stock
2, 7
$
248,000
PFSB Bancorporation, Inc.
Pigeon Falls
WI
$
1,500,000
Par
8/25/2011
50
$
1,500,000
$
0
R $
71,000
IL
$
7,500,000
Par
9/17/2010
4
$
7,500,000 $
0
Preferred Stock
Subordinated
Debentures 8
2, 7
Hanover Park
Preferred Stock 2
Subordinated
Debentures 8
8/25/2011
First Eagle Bancshares, Inc.
30a
R $
375,000
IA Bancorp, Inc.
HomeTown Bankshares Corporation
Iselin
Roanoke
NJ
VA
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,976,000
10,000,000
Par
Par
10,103,000
Par
3/16/2011
4
$
$
2,606,000
$
50
$
7,497,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
8/11/2011
R $
303,000
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
3,300,000
Par
$
2,443,320
Par
7/30/2010
4
$
14,000,000
$
0
N/A
N/A
N/A
9/1/2011
Subordinated
Debentures 8
9/15/2011
Preferred Stock
7,497,000
2, 10, 50
9/25/2009
Heritage Bankshares, Inc.
Norfolk
VA
2
9/25/2009
Mountain Valley Bancshares, Inc.
Cleveland
GA
8
9/25/2009
Grand Financial Corporation
Hattiesburg
MS
9/25/2009
Guaranty Capital Corporation
Belzoni
MS
Subordinated Debentures
$
14,000,000
Par
9/25/2009
GulfSouth Private Bank
Destin
FL
$
7,500,000
9/25/2009
Steele Street Bank Corporation
Denver
CO
$
11,019,000
Par
9/1/2011
50
$
11,019,000
$
0
112
2, 10, 49
2, 10, 69 1/27/2012
10/2/2009
10/2/2009
Premier Financial Bancorp, Inc.
Providence Bank
Huntington
Rocky Mount
WV
NC
$
$
22,252,000
4,000,000
Par
Par
7/27/2012
9/15/2011
112
$
$
19,849,222
4,000,000
$
$
0
0
2
Par
8, 10, 50
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
9/17/2010
3, 8, 30 7/30/2010
10, 21
Preferred Stock w/ Exercised Warrants
49
Subordinated
Debentures 8
Warrants
Preferred Stock 2
-
N/A
7
R $
331,000
2, 7
R $
175,000
R $
381,000
R $
313,000
2, 7,
$
12,700,000
Par
1/27/2012
69
$
6,251,000
Par
9/8/2011
$
$
$
$
6,229,000
6,842,000
3,535,000
6,657,000
Par
Par
Par
Par
$
4,400,000
Par
$
$
$
$
5,000,000
10,800,000
6,000,000
2,348,000
Par
Par
Par
Par
Preferred Stock
$
6,000,000
Par
MD
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
9,000,000
6,500,000
Par
Par
IL
Preferred Stock w/ Exercised Warrants
$
22,000,000
Par
Clinton
MA
Preferred Stock w/ Exercised Warrants
$
12,000,000
Par
4/4/2012
4
$
3,000,000
$
Nationwide Bankshares, Inc.
West Point
NE
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
First Western Financial, Inc.
Meridian Bank
The Victory Bancorp, Inc.
First Business Bank, N.A.
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.
Greenville
Los Angeles
Exton
Denver
Devon
Limerick
San Diego
Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon
12/22/2009
First Choice Bank
Cerritos
10/23/2009
Regents Bancshares, Inc.
Vancouver
WA
8, 50
10/23/2009
Cardinal Bancorp II, Inc.
Washington
MO
2
2, 10a, 49
2, 10a
2, 10
10/30/2009
10/30/2009
11/6/2009
11/13/2009
Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
F & M Bancshares, Inc.
Fidelity Federal Bancorp
Asheboro
Reston
Trezevant
Evansville
NC
8, 10
11/13/2009
Community Pride Bank Corporation
Ham Lake
MN
2, 10a
2, 10
2, 50
2, 10a
11/13/2009
11/20/2009
11/20/2009
11/20/2009
HPK Financial Corporation
Presidio Bank
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.
Chicago
San Francisco
Shorewood
Chicago
3, 10a, 72 2/10/2012
12/4/2009
Broadway Financial Corporation
Los Angeles
CA
2
2, 10
12/4/2009
12/4/2009
Delmar Bancorp
Liberty Bancshares, Inc.
Delmar
Fort Worth
2, 113
12/11/2009
First Community Financial Partners, Inc.
Joliet
2, 10
12/11/2009
Wachusett Financial Services, Inc.
8
12/11/2009
2, 10a, 49
2, 10a, 49
2, 10a, 49
2, 10a, 114
2, 10a
2, 10a, 49
2, 10a
2
2, 10, 49
2, 49
2, 10a, 49
2, 10a, 49
2, 10a
2, 10a
2, 10a, 49
2, 10
2, 10a, 30 9/24/2010
VA
TN
IN
IL
CA
MN
IL
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
12,700,000
$
0
Preferred Stock 2
1/27/2012
Preferred Stock
50
$
6,251,000
$
0
Subordinated
Debentures 8
9/8/2011
Subordinated
Debentures 8
8/4/2011
49
$
6,842,000
$
0
N/A
N/A
N/A
8/18/2011
50
$
6,000,000
$
0
Preferred Stock 2
8/18/2011
Preferred Stock
2, 7
R $
300,000
7/27/2012
Subordinated
8
Debentures
7, 113
P $
720,374
7
R $
100,000
$
2,000,000
Par
12/29/2010
4
$
2,000,000
$
SC
CA
PA
CO
PA
PA
CA
WI
PA
MI
UT
MI
PA
NJ
NC
TN
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,319,000
6,000,000
2,417,000
11,881,000
6,335,000
1,505,000
2,032,000
3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/8/2011
9/1/2011
9/15/2011
7/27/2012
49
$
$
$
$
6,319,000
6,000,000
2,417,000
6,138,000
$
$
$
$
CA
Preferred Stock
$
2,836,000
Par
9/24/2010
49
49
114
9,000,000
0
0
0
0
3,881,000
Preferred Stock w/
Warrants
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
12/29/2010
69
7
-
-
N/A
N/A
N/A
N/A
N/A
9/22/2011
49
$
1,505,000
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
34,000
7/14/2011
9/22/2011
7/14/2011
7/28/2011
49
$
$
$
$
6,056,000
1,300,000
4,640,000
1,744,000
$
$
$
$
0
0
0
0
Preferred Stock 2
2
Preferred Stock
N/A
N/A
7/14/2011
9/22/2011
N/A
N/A
Preferred Stock
Preferred Stock
N/A
N/A
2, 7
R $
R $
-
182,000
65,000
N/A
N/A
3/28/2012
9/22/2011
4
$
$
1,230,000
2,997,000
$
$
0
0
N/A
N/A
N/A
N/A
N/A
N/A
-
N/A
N/A
$
2,836,000
$
0
N/A
N/A
N/A
-
N/A
49
49
49
49
4
2, 7
54
Seller
Footnote Purchase Date
2, 10a, 13 12/22/2009
8/31/2010,
49
2, 10a, 49
12/22/2009
2, 10a, 49
12/22/2009
2, 10a
12/22/2009
2, 10
12/29/2009
2, 10
12/29/2009
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
NJ
Preferred Stock
$
2,359,000
Par
9/22/2011
49
$
2,359,000
$
0
N/A
N/A
N/A
Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
UT
NY
TN
SC
NM
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
9,698,000
3,500,000
4,237,000
2,000,000
2,179,000
Par
Par
Par
Par
Par
7/21/2011
7/21/2011
49
$
$
9,698,000
3,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/21/2011
7/21/2011
Preferred Stock
Preferred Stock
7/25/2012
4
$
600,000
$
Preferred Stock w/ Exercised Warrants
$
4,500,000
Par
3/9/2012
73
$
4,500,000
$
0
3/9/2012
Preferred Stock
$
3,035,000
Par
38
$
650,000
$
0
N/A
N/A
N/A
$
$
4,567,000
1,508,000
Final Disposition
Proceeds
Par
Par
49
1,579,000
Preferred Stock
2
2, 7
2, 7
R $
R $
55,000
113,000
R $
225,000
2
Preferred Stock
N/A
2, 7,
2, 73 3/9/2012
12/29/2009
Mainline Bancorp, Inc.
Ebensburg
PA
8, 10, 38
12/29/2009
FBHC Holding Company
Boulder
CO
2, 10a
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a
2, 10a, 49
12/29/2009
12/29/2009
Western Illinois Bancshares Inc.
DeSoto County Bank
Monmouth
Horn Lake
IL
MS
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
12/29/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
2,453,000
Par
9/29/2010
4
$
2,453,000
$
0
N/A
N/A
N/A
12/29/2009
12/29/2009
12/29/2009
Private Bancorporation, Inc.
CBB Bancorp
Illinois State Bancorp, Inc.
Minneapolis
Cartersville
Chicago
MN
GA
IL
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
3,262,000
1,753,000
4,000,000
Par
Par
Par
9/22/2011
49
$
4,000,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
$
204,943,827,320
Total Purchase Amount *
3/9/2011
Total Repaid **
Losses***
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
$ 191,591,133,093
$
N/A
-
2, 7
Total Warrant Proceeds****
N/A
R $
92,000
$
7,714,786,158
(2,853,806,215)
$
73
10,498,888,012
* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii)
the amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).
*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings (see Notes 16 and 19) and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale (see Notes 26, 32, 33, 34, 38, 39, 42, 46, 47, 59, 64, 74, 75, 76, 77, 78, 79), but excludes investment amounts
for institutions that have pending receivership or bankruptcy proceedings (see Notes 14, 25, 51, 52, 53, 54, 55, 56, 57, 61, 63, 70, 71, 82).
**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a). Beginning with the Transactions Report for the period ending April 20, 2012, disposition amounts for warrant sales by Treasury in a registered public offering ("A") are
displayed after underwriting fees (net) as oppose to before underwriting fees and selling expenses (gross).
Notes appear on the following page.
55
1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on
3/3/2010 appear on a following page of this report.
2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred
Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692
shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution in a negotiated sale pursuant to the terms of the related securities purchase agreement, "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the
financial institution, and "P" represents the proceeds to Treasury, before placement expenses, from a sale by Treasury in a private auction principally involving qualified institutional buyers.
16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.
17/ On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.
18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original
19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by MBHI of the
conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury gave
Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On May 26,
2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010,
Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010. On October 19,
2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010. All such
sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by Morgan Stanley, the weighted average price per share and
the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the conversion
conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on 5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion
of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of
directors meetings.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of
capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Pacific Capital has agreed to have Treasury observers attend board of directors
meetings.
30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.
30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.
31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
32/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the preferred stock and $40,000 for the warrants, pursuant to the terms of the agreement between Treasury and NAFH entered into on
9/24/2010.
33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all preferred stock and warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
34/ On 12/3/2010, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.
35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.
36/ On 2/15/2011, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of Treaty
Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.
37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
38/ On 3/9/2011, Treasury completed the sale of all subordinated debentures (including the subordinated debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on 3/9/2011.
39/ On 5/31/2011, Treasury completed the sale of all preferred stock and warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to other classes
of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired
56
company and the acquiror entered into on 3/23/2011.
57
41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc.,
which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation, pursuant to
the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to
$3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the warrant,
pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011. On 4/4/2012, Treasury completed the sale of all of Treasury’s
remaining 2,770,117 shares of Central Pacific Financial Corp. common stock at $13.01 per share (which represents the $13.15 public offering price less underwriting discounts) for net proceeds of $36,039,222.17, pursuant to an underwriting agreement executed on 03/29/2012.
47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation preferred stock held by Treasury and the related warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.
49/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
50/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
51 / On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
52/ On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
53/ On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
54/ On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
55/ On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
56/ On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
57/ On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
58/ On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.
59/ On 9/7/2011, Treasury completed the sale of all Green Bankshares, Inc. preferred stock held by Treasury and the related Warrant to North American Financial Holdings, Inc. ("NAFH") for an aggregate purchase price of $68,700,000.00, pursuant to the terms of the agreement between Treasury and NAFH entered into on 9/6/2011.
60/ As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an
agreement among Treasury, the acquired company and the acquiror entered into on 9/16/2011.
61/ On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
62/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending Fund, which occurred at a later date.
63/ On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
64/ On 10/21/2011, Treasury completed the sale of all Santa Lucia Bancorp preferred stock and warrants held by Treasury to CCI One Acquisition Corporation ("CCI") for an aggregate purchase price of $2,800,000.00, pursuant to the terms of the agreement between Treasury and CCI entered into on 10/20/2011.
65/ As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on
11/15/2011.
66/ As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN
Bancorp, Inc. entered into on 11/30/2011.
67/ On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms
of the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.
68/ As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.
69/ On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to
Treasury by Regents.
70/ On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
71/ On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
72/ On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.
73/ On 3/9/2012, Treasury completed the sale of all Mainline Bancorp, Inc. preferred stock and exercised warrants held by Treasury to 9th Street Holdings, Inc., a subsidiary of S&T Bancorp, Inc., for an aggregate purchase price of $4,725,000 plus accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, 9th Street Holdings, Inc.,
and S&T Bancorp, Inc. entered into on 3/8/2012.
74/ On 4/3/2012, Treasury completed the sale of 124,000 shares of Banner Corporation preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $108,071,914.80 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
75/ On 4/3/2012, Treasury completed the sale of 65,000 shares of First Financial Holdings, Inc. preferred stock at $873.51 per share (less underwriting discounts) for net proceeds of $55,926,477.75 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
76/ On 4/3/2012, Treasury completed the sale of 62,158 shares of Wilshire Bancorp, Inc. preferred stock at $943.51 per share (less underwriting discounts) for net proceeds of $57,766,994.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
77/ On 4/3/2012, Treasury completed the sale of 2,000 shares of Seacoast Banking Corporation of Florida preferred stock at $20,510.00 per share (less underwriting discounts) for net proceeds of $40,404,700.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
78/ On 4/3/2012, Treasury completed the sale of 57,000 shares of MainSource Financial Group, Inc. preferred stock at $931.11 per share (less underwriting discounts) for net proceeds of $52,277,170.95 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
79/ On 4/3/2012, Treasury completed the sale of 52,625 shares of WSFS Financial Corporation preferred stock at $915.11 per share (less underwriting discounts) for net proceeds of $47,435,298.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
80/ On 4/13/2012, Treasury completed the sale of all Gateway Bancshares, Inc. preferred stock held by Treasury to First Volunteer Corporation ("First Volunteer") for an aggregate purchase price of $6,300,000.00 plus accrued and unpaid dividends, pursuant to the terms of the agreement between Treasury and First Volunteer entered into on 4/13/2012.
81/ On 4/20/2012, Treasury completed the sale of all The Connecticut Bank and Trust Company preferred stock held by Treasury to Berkshire Bank for an aggregate purchase price of $6,289,966.33 consisting of (a) (i) $5,448,000.00 for the preferred stock plus (ii) all accrued and unpaid dividends and (b) $792,783.00 for the Warrant, pursuant to the terms of
the agreement by and among Treasury, The Connecticut Bank and Trust Company, and Berkshire Bank entered into on 4/19/2012.
82/ On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
83/ On 4/24/2012, Treasury completed the sale of all Peoples Bancorporation, Inc. ("Peoples") preferred stock held by Treasury to SCBT Financial Corporation ("SCBT") for an aggregate purchase price of $13,293,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Peoples, and SCBT entered into on
4/24/2012.
84/ On 4/20/2012, Treasury entered into an agreement with CIC Bancshares, Inc. (CIC) pursuant to which Treasury agreed to sell to CIC all Preferred Stock issued by Millennium Bancorp, Inc. (Millennium) to Treasury for an aggregate purchase price of (i) $2.904 million plus (ii) accrued and unpaid dividends on the Preferred Stock as of the closing date.
Closing of the sale is subject to certain conditions including completion of the acquisition and merger of Millennium by CIC.
85/ On 6/19/2012, Treasury completed the sale of 52,000 shares of Ameris Bancorp preferred stock at $930.60 per share (less underwriting discounts) for net proceeds of $47,665,332.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
86/ On 6/19/2012, Treasury completed the sale of 104,823 shares of Taylor Capital Group preferred stock at $893.50 per share (less underwriting discounts) for net proceeds of $92,254,460.24 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
87/ On 6/19/2012, Treasury completed the sale of 30,000 shares of Farmers Capital Bank Corporation preferred stock at $869.17 per share (less underwriting discounts) for net proceeds of $21,594,228.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
88/ On 6/19/2012, Treasury completed the sale of 25,223 shares of LNB Bancorp Inc. preferred stock at $739.89 per share (less underwriting discounts) for net proceeds of $21,863,749.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
89/ On 6/19/2012, Treasury completed the sale of 37,000 shares of First Defiance Financial Corp. preferred stock at $962.66 per share (less underwriting discounts) for net proceeds of $35,084,143.70 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
58
90/ On 6/19/2012, Treasury completed the sale of 10,958 shares of First Capital Bancorp, Inc. preferred stock at $920.11 per share (less underwriting discounts) for net proceeds of $9,931,326.90 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
91/ On 6/19/2012, Treasury completed the sale of 20,600 shares of United Bancorp, Inc. preferred stock at $825.50 per share (less underwriting discounts) for net proceeds of $16,750,220.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
92/ On 7/3/2012, Treasury completed the sale of 48,200 shares of Fidelity Southern Corporation preferred stock at $900.60 per share (less underwriting discounts) for net proceeds of $42,757,786.20 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
93/ On 7/3/2012, Treasury completed the sale of 25,054 shares of Peoples Bancorp of North Carolina, Inc. preferred stock at $933.36 per share (less underwriting discounts) for net proceeds of $23,033,635.42 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
94/ On 7/3/2012, Treasury completed the sale of 23,184 shares of First Citizens Banc Corp preferred stock at $906.00 per share (less underwriting discounts) for net proceeds of $20,689,633.44 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
95/ On 7/3/2012, Treasury completed the sale of 45,000 shares of MetroCorp Bancshares, Inc. preferred stock at $981.17 per share (less underwriting discounts) for net proceeds of $43,490,360.25 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
96/ On 7/3/2012, Treasury completed the sale of 32,538 shares of Pulaski Financial Corp preferred stock at $888.00 per share (less underwriting discounts) for net proceeds of $28,460,337.84 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
97/ On 7/3/2012, Treasury completed the sale of 33,000 shares of Firstbank Corporation preferred stock at $941.01 per share (less underwriting discounts) for net proceeds of $30,587,530.05 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
98/ On 7/3/2012, Treasury completed the sale of 17,299 shares of Southern First Bancshares, Inc. preferred stock at $904.00 per share (less underwriting discounts) for net proceeds of $15,403,721.56 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
99/ On 7/12/2012, Treasury completed the sale of all Naples Bancorp, Inc. ("Naples Bancorp") preferred stock held by Treasury to Naples Bancorp for an aggregate purchase price of $600,000.00, pursuant to the terms of the agreement between Treasury and Naples Bancorp entered into on 7/12/2012.
100/ On 7/17/2012, Treasury completed the sale of all Heartland Bancshares, Inc. ("Heartland") preferred stock held by Treasury to Horizon Bancorp for an aggregate purchase price of $7,248,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Heartland, and Horizon Bancorp entered into on 7/17/2012.
101/ As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement
among Treasury, the acquired company and the acquiror entered into on 7/19/2012.
102/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 35,500 shares of Marquette National Corporation preferred stock at $720.25 per share (less a placement agent fee) for net proceeds of $25,313,186.25 and 1,775 shares of Marquette National Corporation preferred stock received upon the
exercise of warrants at $825.25 per share (less a placement agent fee) for net proceeds of $1,450,170.56.
103/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 43,000 shares of Exchange Bank preferred stock at $875.25 per share (less a placement agent fee) for net proceeds of $37,259,392.50 and 2,150 shares of Exchange Bank preferred stock received upon the exercise of warrants at $965.10 per
share (less a placement agent fee) for net proceeds of $2,054,215.35.
104/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 36,282 shares of Fidelity Financial Corporation preferred stock at $891.26 per share (less a placement agent fee) for net proceeds of $32,013,328.37 and 1,814 shares of Fidelity Financial Corporation preferred stock received upon the exercise of
warrants at $960.60 per share (less a placement agent fee) for net proceeds of $1,725,103.12.
105/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 428 shares of First Western Financial, Inc. preferred stock received upon the exercise of warrants at $828.50 per share (less a placement agent fee) for net proceeds of $351,052.02.
106/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 23,200 shares of Park Bancorporation, Inc. preferred stock at $730.25 per share (less a placement agent fee) for net proceeds of $16,772,382.00 and 1,160 shares of Park Bancorporation, Inc. preferred stock received upon the exercise of
warrants at $780.25 per share (less a placement agent fee) for net proceeds of $896,039.10.
107/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 35,539 shares of Trinity Capital Corporation preferred stock at $750.25 per share (less a placement agent fee) for net proceeds of $26,396,503.40 and 1,777 shares of Trinity Capital Corporation preferred stock received upon the exercise of
warrants at $941.20 per share (less a placement agent fee) for net proceeds of $1,655,787.28.
108/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 24,300 shares of CBS Banc-Corp. preferred stock at $905.20 per share (less a placement agent fee) for net proceeds of $21,776,396.40 and 1,215 shares of CBS Banc-Corp. preferred stock received upon the exercise of warrants at $921.00 per
share (less a placement agent fee) for net proceeds of $1,107,824.85.
109/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell its Market Street Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $18,069,212.70 and its Market Street Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a
placement agent fee) for net proceeds of $824,730.64.
110/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell its Commonwealth Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $15,147,000.00 and its Commonwealth Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a
placement agent fee) for net proceeds of $898,722.00.
111/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell its Diamond Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $14,780,661.64 and its Diamond Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for
net proceeds of $779,576.49.
112/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 22,252 shares of Premier Financial Bancorp, Inc. preferred stock at $901.03 per share (less a placement agent fee) for net proceeds of $19,849,222.36.
113/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 1,100 shares of First Community Financial Partners, Inc. preferred stock received upon the exercise of warrants at $661.50 per share (less a placement agent fee) for net proceeds of $720,373.50.
114/ On 7/23/2012, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 8,000 shares of First Western Financial, Inc. preferred stock at $775.00 per share (less a placement agent fee) for net proceeds of $6,138,000.00.
115/ On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
59
CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION
Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010
12/6/2010
Pricing Mechanism
1
2
3
4
5
6
Number of Shares
Proceeds
7
$4.1217
1,500,000,000 $
6,182,493,158
$3.8980
1,108,971,857 $
4,322,726,825
$3.9090
1,500,000,000 $
5,863,489,587
$4.2609
1,165,928,228 $
4,967,921,811
$4.3500
2,417,407,607 $
10,515,723,090
Total Proceeds:
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
59
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
Purchase Date
1
1, 2
1, 2
1, 4
1
2a
1
1
1
1
2a
1
1, 3
7/30/2010
7/30/2010
8/6/2010
8/13/2010
8/13/2010
9/17/2010
8/13/2010
8/13/2010
8/13/2010
8/20/2010
9/24/2010
8/20/2010
8/27/2010
9/3/2010
9/3/2010
9/3/2010
9/10/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
1
1
1, 2
1
1, 2
1
1, 2
1, 2
1, 2
1, 2
1
1
1
1
1
1
Name of Institution
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
Citizens Bancshares Corporation
PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Mission Valley Bancorp
M&F Bancorp, Inc.
Carver Bancorp, Inc
Kilmichael Bancorp, Inc.
United Bancorporation of Alabama, Inc.
IBW Financial Corporation
IBC Bancorp, Inc.
CFBanc Corporation
American Bancorp of Illinois, Inc.
Hope Federal Credit Union
Genesee Co-op Federal Credit Union
First Eagle Bancshares, Inc.
Liberty Financial Services, Inc.
First Choice Bank
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Liberty County Teachers Federal Credit Union
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.
Purchase Details
City
Belzoni
St. Paul
Arkadelphia
Wilmette
Atlanta
Chicago
Brooklyn
Memphis
Sun Valley
Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
Bainbridge
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
Liberty
New Orleans
Biggs
Olympia
Phenix City
Tucson
Berkeley
Honolulu
Hagatna
Milwaukee
Ketchikan
Santa Cruz
San Francisco
Fairfax
Aiken
Oakland
Hattiesburg
Ridgeland
Kosciusko
Greenwood
Oxford
Many
Brandon
Vernon
State
MS
MN
AR
IL
GA
IL
NY
TN
CA
NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
GA
VA
NY
WY
NY
MT
IN
NY
LA
NY
TX
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
MS
AL
Investment Description
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Common Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Amount from CPP
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
14,000,000
11,926,000
11,000,000
6,784,000
7,462,000
3,000,000
17,000,000
2,795,000
5,500,000
11,735,000
18,980,000
10,300,000
6,000,000
4,205,000
7,875,000
5,645,000
5,146,000
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
Disposition Details
Additional Investment
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
4,000,000
2,313,000
12,123,000
30,514,000
-
Investment Amount
$
$
$
$
14,000,000
22,115,000
33,800,000
6,784,000
$
$
$
$
11,841,000
3,000,000
17,000,000
2,795,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,336,000
11,735,000
18,980,000
3,154,000
10,300,000
6,000,000
8,086,000
5,781,000
5,457,000
4,520,000
300,000
7,875,000
11,334,000
5,146,000
3,372,000
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
435,000
743,000
1,000,000
75,000
153,000
2,500,000
2,799,000
273,000
2,650,000
1,096,000
1,600,000
2,828,000
350,000
8,044,000
22,000,000
4,060,000
17,123,000
80,914,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
Pricing
Mechanism
Date
Amount
Remaining Investment
Amount
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
60
Seller
Footnote
Purchase Date
1
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
Name of Institution
City
State
Investment Description
Amount from CPP
Batesville
Palisades Park
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
NJ
MS
MS
NY
NY
NY
LA
LA
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
New York
NY
Subordinated Debentures
$
5
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/30/2010
Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn
IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
17,910,000
-
Disposition Details
Additional Investment
Investment Amount
Pricing
Mechanism
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
17,910,000
5,250,000
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000
-
$
-
$
57,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
570,073,000
Remaining Investment
Amount
Par
-
Amount
Date
Par
Par
Par
Par
Par
Par
Par
Par
Par
Total Purchase Amount $
9/29/2010
Security Capital Corporation
BankAsiana
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Purchase Details
4/10/2012
5
$350,000
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
$0
$350,000
569,723,000
1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.
2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.
2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.
4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
5/ Repayment pursuant to Section 5.2 of the CDCI Securities Purchase Agreement
61
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Initial Investment
City, State
Transaction Type
12/29/2008
Purchase
GMAC
5/21/2009
GMAC
(Ally)
Date
Seller
Purchase
Purchase
12/30/2009
Purchase
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
Pricing
Mechanism
Amount
Date
$
5,000,000,000
Par
GMAC
Convertible Preferred Stock w/
$
Exercised Warrants
7,500,000,000
Par
22
GMAC
Convertible Preferred Stock w/
$
Exercised Warrants
Par
22,
26
GMAC
Trust Preferred Securities w/
Exercised Warrants
$
2,540,000,000
Par
Debt Obligation
$
884,024,131
Par
$
13,400,000,000
Par
$
2,000,000,000
Par
Detroit, MI
12/30/2009
Description
Preferred Stock w/ Exercised
Warrants
Exchange/Transfer/Other Details
1,250,000,000
12/30/2009
Type
Exchange for convertible
preferred stock
12/30/2009
Partial conversion of preferred
stock for common stock
12/30/2010
Partial conversion of preferred
stock for common stock
3/1/2011
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
Pricing
Mechanism
Amount
$
5,000,000,000
N/A
$
3,000,000,000
Obligor
Description
Convertible
Preferred Stock
Amount/Equity %
Date
Type
Amount/ Proceeds
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
N/A
GMAC (Ally)
21, 22
GMAC (Ally)
3, 26,
32
$
5,500,000,000
N/A
26
$
2,670,000,000
N/A
27 GMAC (Ally)
$
884,024,131
N/A
$
13,400,000,000
N/A
$
2,000,000,000
N/A
$
Common Stock
5,937,500,000
73.8%
Trust Preferred
Securities
$
2,670,000,000
10, 11,
Preferred Stock
24
$
2,100,000,000
27
3/2/2011 Disposition 28
11/26/2010 Partial Disposition 25
360,624,198
Par
6
Exchange for preferred and
common stock in New GM
$
360,624,198
N/A
1/16/2009
Purchase
General Motors
Corporation
Chrysler FinCo
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
$
30,100,000,000
1,500,000,000
Par
Par
Exchange for preferred and
common stock in New GM
$
22,041,706,310
N/A
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Purchase
7/10/2009
7/10/2009
6/3/2009
8
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
4,000,000,000
7 General Motors
Company
7
General Motors
Company
10, 11,
Common Stock
25
$
-
$
280,130,642
$
1,888,153,580
$
-
-
Transfer of debt to New Chrysler $
500,000,000
N/A
$
360,624,198 Debt Obligation
$
6,711,864,407
$
1,000,000,000 Debt Obligation
$
5,711,864,407
7
General Motors
Holdings LLC
11, 12 Debt Obligation
$
7,072,488,605
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
Repayment
$
4,676,779,986
$
3/31/2011
Partial Repayment
$
50,000,000 Debt Obligation
$
935,805,085
Partial Repayment
$
45,000,000 Debt Obligation
$
890,805,085
Partial Repayment
$
15,887,795 Debt Obligation
$
874,917,290
$
144,444 Debt Obligation
$
874,772,846
$
18,890,294 Debt Obligation
$
855,882,552
Partial Repayment
$
6,713,489 Debt Obligation
$
849,169,063
Partial Repayment
$
1,496,500,945
Partial Repayment
$
1,464,690,823
Partial Repayment
$
1,413,554,739
Partial Repayment
$
1,369,197,029
Repayment
Repayment*
N/A
0
9
9
9 Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
5/14/2010
$
$
$
$
Debt Obligation w/
3,499,055 Additional Note
Debt Obligation w/
31,810,122 Additional Note
Debt Obligation w/
51,136,084 Additional Note
Debt Obligation w/
44,357,710 Additional Note
Additional Note
$
0
$
$
Termination and settlement payment
1,369,197,029
15,000,000
N/A
-
$
1,900,000,000
N/A
-
N/A
20
14
15
Chrysler
N/A
23 Old Carco
Liquidation Trust
23
Right to recover
proceeds
N/A
Proceeds from sale of collateral
$
30,544,528
Proceeds from sale of collateral
$
$
7,844,409
Right to recover
proceeds
N/A
Proceeds from sale of collateral
$
9,302,185
Right to recover
proceeds
N/A
5/24/2011
Repayment - Principal
$
5,076,460,000
Termination of undrawn facility 31
$
2,065,540,000
Repayment* - Additional Note
$
288,000,000
5/24/2011
(1,888,153,580)
5/10/2010
9/9/2010
$
280,130,642
5/24/2011
17
Completion of bankruptcy
proceeding; transfer of collateral
security to liquidation trust
$
5/24/2011
-
4/30/2010
Repayment
4/30/2012
16
7/10/2009
12/29/2010 Proceeds from sale of collateral
4/29/2009
Par
6/10/2009
Partial Repayment
60.8%
13
Par
32.04%
7
Farmington
Hills, MI
1/2/2009
1,761,495,577 Common Stock
7/14/2009
$
$
7/14/2009
Debt Obligation w/ Additional
Note
36.9%
6/17/2009
General Motors
Corporation
11,743,303,903 Common Stock
5/18/2009
Purchase
$
3
Detroit, MI
5/27/2009
Chrysler
FinCo
11/18/2010 Partial Disposition 25
4/17/2009
N/A
0
3/17/2009
4,000,000,000
$
1/11/2012
$
N/A
12/23/2011 Partial Repayment
7/10/2009
2,139,406,778
12/16/2011 Partial Repayment
5
Exchange for preferred and
common stock in New GM
$
5/3/2011
Par
7/10/2009
12/15/2010 Repayment
4/5/2011
4,000,000,000
4
0
4/20/2010
$
7/10/2009
$
12/18/2009 Partial Repayment
Debt Obligation w/ Additional
Note
5/29/2009
N/A
3/31/2010
General
Motors
Purchase
General Motors
Corporation
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
2
2,667,000,000
7/10/2009
5/20/2009
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
$
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
34,894,279,433
Additional Proceeds * $
403,000,000
Right to recover
proceeds
Right to recover
9,666,784
proceeds
Auburn Hills,
MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
Equity
18
$
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
Total Initial Investment Amount $
81,344,932,551
19, 31 Debt obligation w/
additional note &
zero coupon note
30
Common equity
$
7,142,000,000
6.6%
$
N/A
N/A
0
N/A
N/A
$
0
-
62
Total Treasury Investment Amount $
40,896,959,538
Footnotes appear on following page.
63
As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.
1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by green lines in table
above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to "General Motors LLC".
General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining principal amount
reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 from Chrysler
Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and accrued and
unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation from time to time
of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common stock from
Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and restatement
through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the Plan of
Liquidation. Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the
exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust
pertaining to the trust's shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.
32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment
Date
Payment or Disposition4
Date
Type
Remaining Investment Description
Amount
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
Additional Note
$
50,000,000
4/5/2010
Payment6
None
$
56,541,893
3/9/2010
4/7/2010
Repayment5
Payment7
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
Additional Note
7/8/2009
$ 3,500,000,000
3
$ (1,000,000,000) $
N/A
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
Additional Note
$
$ 1,500,000,000
N/A
7/8/2009
3
$
$
290,000,000
(500,000,000) $
1,000,000,000
$
123,076,735
7
413,076,735
2,500,000,000
Total Repayments
$
413,076,735
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Total Proceeds from Additional Notes
1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables LLC on
2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 6/10/2009.
3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
5/ All outstanding principal drawn under the credit agreement was repaid.
6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
64
TARGETED INVESTMENT PROGRAM
Seller
Footnote
1
Date
Name of Institution
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
City
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Description Investment Amount
Trust Preferred Securities
w/ Warrants
$
20,000,000,000
Preferred Stock w/
Warrants
$
20,000,000,000
TOTAL
$
40,000,000,000
Pricing
Mechanism
Par
12/23/2009
Capital Repayment
Amount
Capital
Repayment Date
2
Remaining Capital
Description
Final Disposition
Final
Disposition
Final Disposition Date 3
Description
Remaining
Capital Amount
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
2
Par
12/9/2009
AMOUNT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred
Stock, Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
Date
Seller
Name of Institution
City
State
Type
Premium
Description
Guarantee Limit
Description
Amount
Exchange/Transfer/Other Details
Footnote
Date
2
6/9/2009
Type
Payment or Disposition
Description
Footnote
Date
Type
Amount
Remaining
Premium
3
1/16/2009 Citigroup Inc.
12/23/2009 Citigroup Inc.
New York
New York
NY
NY
Guarantee
Termination
Master Agreement
Termination Agreement
TOTAL
$
$
$
5,000,000,000
Preferred Stock
w/ Warrants
$
4,034,000,000
4
9/29/2010
Exchange trust preferred
securities for trust preferred
securities
Trust Preferred
Securities w/ Warrants
$
4,034,000,000
3
Partial cancellation for early
12/23/2009 termination of guarantee
Trust Preferred
$ (1,800,000,000) Securities w/ Warrants
$2,234,000,000
$
2,246,000,000
5
9/30/2010 Disposition
$ 2,246,000,000 Warrants
$
0
1/25/2011 Warrant Auction
1
Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants
Amount
Remaining Premium
Description
$
$
0
67,197,045 None
(5,000,000,000)
0
Total Proceeds
$ 2,313,197,045
1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust
Preferred Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject
to the conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
64
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Date
1
11/25/2008
4/17/2009
AIG
State
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
New York
AIG
2, 3
Exchange/Transfer Details
New York
Name of Institution
Note
Purchase Details
Transaction
Type
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
City
Investment Description
Date
4/17/2009
Pricing Mechanism
Investment Amount
2
Transaction Type
Exchange
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
Pricing
Mechanism
$ 40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
Date
69,835,000,000
Investment
Pricing
Mechanism
Proceeds
Transaction Type
Warrants (Series E)
Warrants (Series F)
Total
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
Transaction Type
Pricing Mechanism
Exchange
Par
Final Disposition
Investment Description
Date
Amount / Shares
5
1/14/2011
Preferred Stock (Series E)
167,623,733
Exchange
N/A
6
1/14/2011
Common Stock (non-TARP)
3,375,328,432
Transfer
Common Stock
924,546,133
562,868,096
$
55,833,333
Payment
$
97,008,351
Payment
$
2,153,520,000
Par
Payment
$
55,885,302
$
971,506,765
$
5,576,121,382
$
1,521,632,096
$
1,493,250,339
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
3/8/2012
Partial Disposition
$
6,000,000,008
N/A
Partial Disposition
$
4,999,999,993
N/A
5/7/2012
Partial Disposition
$
749,999,972
N/A
$
8
Par
Payment
0
Par
Payment
$
Par
Payment
8
Par
Payment
0
Par
Payment
$
Par
8/18/2011
10
Par
5/6/2012
Exchange
$
Payment
0
Par
3/15/2012
ALICO Junior Preferred Interests
7
5,511,067,614
11/1/2011
N/A
$
2/14/2011
Exchange
Payment
38,610,313,300
Total
-
N/A
$
Par
3/22/2012
Preferred Stock (Series F)
185,726,192
3/15/2012
1/14/2011
$
3/8/2012
4
Payment
9/2/2011
7
$
8/17/2011
16,916,603,568
Cancellation
3/15/2011
$
5/27/2011
3/8/2011
AIA Preferred Units
2,000,000,000
Proceeds 8
Transaction Type
2/14/2011
Preferred Stock (Series G)
$
Remaining Recap
Investment Amount,
Pricing Mechanism Shares, or Equity %
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
61%
Footnotes appear on following page.
65
12
4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG
Common Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.
5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.
6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received
562,868,096 shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.
7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.
8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.
9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.
10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.
11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.
12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.
66
CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Investment Amount
Pricing Mechanism
Adjusted Investment
Amount
Date
2
1
3/3/2009
TALF LLC
Wilmington
DE
Purchase
Debt Obligation w/ Additional Note
TOTAL
$
20,000,000,000
$
4,300,000,000
N/A
7/19/2010
$
4,300,000,000
1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.
2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.
67
SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE
SBA 7a Securities Purchase Program
Purchase Details 1
Date
3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010
Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Settlement Details
Purchase Face
3
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
Pricing Mechanism
TBA or
PMF3
Investment Amount
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
332,596,893
2, 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
Senior Security
4
Proceeds
Total Senior Security Proceeds $
TOTAL INVESTMENT AMOUNT
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
TBA or
3
PMF
-
Final Disposition
368,145,452
6
Trade Date
PMF
6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011
1/24/2012
6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011
1/24/2012
1/24/2012
1/24/2012
1/24/2012
1/24/2012
10/19/2011
1/24/2012
10/19/2011
1/24/2012
-
Purchase Face
3
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
Life-to-date
Principal
1, 8
Received
Current Face
6, 8
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,151,186
5,891,602
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
15,030,712
32,656,125
25,930,433
5,656,049
6,520,875
12,704,841
1,903,407
9,531,446
6,425,217
4,580,543
9,030,539
8,403,846
10,099,555
6,236,800
7,503,681
7,053,867
5,473,724
4,307,881
3,367,168
10,592,775
12,963,737
14,562,161
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Disposition
5, 6
Amount
902,633
1,685,710
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
2,089,260
1,784,934
2,278,652
348,107
339,960
478,520
694,979
188,009
1,853,831
419,457
969,461
868,636
250,445
663,200
1,398,549
996,133
276,276
1,433,872
82,832
889,646
438,754
387,839
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,457,746
6,462,972
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
16,658,561
36,072,056
29,142,474
6,051,772
7,105,304
14,182,379
2,052,702
10,223,264
7,078,089
5,029,356
9,994,806
9,230,008
11,314,651
6,556,341
8,269,277
7,703,610
5,764,858
4,693,918
3,698,411
11,818,944
14,433,039
16,383,544
Disposition Proceeds
$
334,924,711
TOTAL PROGRAM PROCEEDS TO DATE7 $
376,748,302
1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms.
If a purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted
after publication of the applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal
amount equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms
and conditions as set forth in the Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor
(on or about the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.
68
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
Name of Institution
Commitment
City
Transaction
Type
State
Purchase
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
Par
1/4/2010
3
Amount
Final Investment
Final Commitment Amount
Date
1/4/2010
7
Amount
Amount
4 $
Amount
Repayment
Amount
Amount
Description
Distribution or Disposition
Date
Description
UST/TCW Senior Mortgage Securities Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
Debt Obligation w/ Contingent Proceeds
$
$
1,111,111,111
2,222,222,222
Par
1/4/2010
4 $
4 $
156,250,000
200,000,000
1/4/2010
4 $
200,000,000
$
200,000,000
1/15/2010
1/11/2010
1/12/2010
1
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
856,000,000
$
580,960,000
$
$
$
156,250,000
34,000,000
166,000,000
$
$
$
0
Membership Interest
0
544,971,267 Membership Interest
$
66,463,982
$
478,507,285 Membership Interest
$
15,844,536
$
462,662,749 Membership Interest
$
13,677,726
$
448,985,023 Membership Interest
$
48,523,845
$
400,461,178 Membership Interest
$
68,765,544
$
331,695,634 Membership Interest
$
77,704,254
$
253,991,380 Membership Interest
$
28,883,733
$
225,107,647 Membership Interest
$
9,129,709
$
215,977,938 Membership Interest
$
31,061,747
$
184,916,192 Membership Interest
$
10,381,214
$
174,534,977 Membership Interest
$
6,230,731
$
168,304,246 Membership Interest
$
1,183,959
$
167,120,288 Membership Interest
1/17/2012
$
1,096,185
$
166,024,103 Membership Interest
2/14/2012
$
1,601,688
$
164,422,415 Membership Interest
3/14/2012
$
3,035,546
$
161,386,870 Membership Interest
3/29/2012
1,161,920,000
$
12/14/2011
$
30,011,187
10/17/2011
1,161,920,000
$
8/12/2011
9/26/2011 8 $
574,982,454 Membership Interest
7/15/2011
3/22/2010 6 $ 2,488,875,000
$
6/14/2011
Par
3,533,199
5/20/2011
2,222,222,222
$
4/14/2011
$
578,515,653 Membership Interest
3/14/2011
Debt Obligation w/ Contingent Proceeds
$
2/14/2011
Purchase
2,444,347
1/14/2011
DE
$
12/14/2010
Wilmington
2/18/2010
11/15/2010
Invesco Legacy Securities Master Fund, L.P.
Final Distribution
Distribution
Final Distribution
3/29/2012
Distribution
3/29/2012
Distribution
$
$
48,922
$
5
20,091,872
$
161,386,870
$
2/18/2010
$
4,888,718
$
1,157,031,282
4/15/2010
$
7,066,434
$
1,149,964,848
9/15/2010
$
60,022,674
$
1,089,942,174
11/15/2010
$
132,928,628
$
957,013,546
12/14/2010
$
31,689,230
$
925,324,316
1/14/2010
$
27,355,590
$
897,968,726
2/14/2011
$
92,300,138
$
805,668,588
3/14/2011
$
128,027,536
$
677,641,052
4/14/2011
$
155,409,286
$
522,231,766
5/20/2011
$
75,085,485
$
447,146,281
6/14/2011
$
18,259,513
$
428,886,768
7/15/2011
$
62,979,809
$
365,906,960
8/12/2011
$
20,762,532
$
345,144,428
10/17/2011
$
37,384,574
$
307,759,854
12/14/2011
$
7,103,787
$
300,656,067
1/17/2012
$
6,577,144
$
294,078,924
2/14/2012
$
9,610,173
$
284,468,750
3/14/2012
$
284,468,750
$
0
0
5
502,302
$
1,223
$
56,390,209
$
3,434,460
Contingent Proceeds
9/15/2010
9/30/2009
Distribution
Debt Obligation w/
166,000,000 Contingent Proceeds
4/15/2010
2
Proceeds
5
1/29/2010
2/24/2010
9/30/2009
DE
156,250,000
Repayment
Date
Investment After Capital Repayment
1/29/2010
2
Wilmington
$
Capital Repayment Details
2/24/2010
UST/TCW Senior Mortgage Securities Fund, L.P.
156,250,000
9
Membership Interest
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Contingent Proceeds
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
5
69
Preliminary Adjusted
Seller
Commitment
Final Commitment Amount
State
Transaction
Type
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,262,037,500
7/16/2010
$
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $ 2,524,075,000
7/16/2010
$
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
9
2,298,974,000
10/2/2009
Amount
1,149,487,000
1,150,423,500
Date
1
10/1/2009
2
1
Name of Institution
Investment Description
Pricing
Mechanism
Final Investment
7
City
Footnote
Commitment
Amount
3
Date
Amount
Date
Amount
Amount
Investment After Capital Repayment
Capital Repayment Details
Repayment
Date
Repayment
Amount
Amount
Description
7/16/2010
$
10/2/2009
Blackrock PPIF, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $ 2,488,875,000
7/16/2010
$
1
10/30/2009 AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,271,337,500
7/16/2010
$
1,095,832,657 Membership Interest
$
287,098,565
$
808,734,092 Membership Interest
$
68,749,656
$
$
30,244,575
$
$
88,087
$
$
80,000,000
$
$
30,000,000
$
$
500,000,000
$
$
44,200,000
$
$
120,000,000
$
$
17,500,000
$
$
450,000,000
$
739,984,436 Membership Interest
Debt Obligation w/
2,270,602,425 Contingent Proceeds
Debt Obligation w/
2,270,514,339 Contingent Proceeds
Debt Obligation w/
2,190,514,339 Contingent Proceeds
Debt Obligation w/
2,160,514,339 Contingent Proceeds
Debt Obligation w/
1,660,514,339 Contingent Proceeds
Debt Obligation w/
1,616,314,339 Contingent Proceeds
Debt Obligation w/
1,496,314,339 Contingent Proceeds
Debt Obligation w/
1,478,814,339 Contingent Proceeds
Debt Obligation w/
1,028,814,339 Contingent Proceeds
$
175,000,000
$
$
87,099,565
$
1,156,175,436 Membership Interest
$
99,462,003
$
1,056,713,433 Membership Interest
$
74,999,625
$
981,713,808 Membership Interest
$
18,749,906
$
2/14/2012
$
174,200,000
$
$
198,925,000
$
$
150,000,000
$
$
37,500,000
$
962,963,902 Membership Interest
Debt Obligation w/
2,312,350,000 Contingent Proceeds
Debt Obligation w/
2,113,425,000 Contingent Proceeds
Debt Obligation w/
1,963,425,000 Contingent Proceeds
Debt Obligation w/
1,925,925,000 Contingent Proceeds
3/14/2011
$
1,202,957
$
619,375,301 Membership Interest
$
3,521,835
$
5/13/2011
$
13,531,530
$
$
618,750,000
$
615,853,465 Membership Interest
Debt Obligation w/
1,227,468,470 Contingent Proceeds
Debt Obligation w/
608,718,470 Contingent Proceeds
7/15/2011
$
39,499,803
$
1,121,284,298 Membership Interest
$
39,387,753
$
7/15/2011
$
79,000,000
$
$
78,775,901
$
1,081,896,544 Membership Interest
Debt Obligation w/
2,242,568,200 Contingent Proceeds
Debt Obligation w/
2,163,792,299 Contingent Proceeds
Description
Proceeds
10
Debt Obligation w/
1,214,960,000 Contingent Proceeds
2/14/2012
1,243,275,000
$
7/31/2012
1,389,960,000
39,999,800
Date
10
10
10
10
10
10
10
694,980,000
2
$
3/14/2012
3/22/2010 6 $ 1,244,437,500
1,135,832,457 Membership Interest
3/14/2012
Par
$
7/31/2012
1,111,111,111
7,118,388
4/14/2011
$
$
7/16/2012
Membership Interest
1,142,950,845 Membership Interest
5/14/2012
Purchase
$
3/14/2012
DE
6,716,327
7/16/2012
Wilmington
$
5/14/2012
Blackrock PPIF, L.P.
1,149,667,172 Membership Interest
3/14/2012
10/2/2009
$
7/27/2012
1
712,284
5/16/2011
2,300,847,000
$
7/16/2012
$
1,150,379,457 Membership Interest
6/25/2012
7/16/2010
$
6/14/2012
3/22/2010 6 $ 2,488,875,000
44,043
5/23/2012
Par
$
5/14/2012
2,222,222,222
1/15/2010
5/3/2012
$
$
6/14/2011
Debt Obligation w/ Contingent Proceeds
125,000,000
7/16/2012
Purchase
$
6/14/2012
DE
6/26/2012
1,086,987,313 Membership Interest
Debt Obligation w/
2,173,974,000 Contingent Proceeds
5/14/2012
Wilmington
$
4/14/2011
AllianceBernstein Legacy Securities Master Fund, L.P.
62,499,688
3/14/2011
10/2/2009
$
2/14/2011
2
7/16/2012
Distribution or Disposition
2
1
2
10/30/2009 AG GECC PPIF Master Fund, L.P.
11/4/2009
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
Wilmington
Wilmington
DE
DE
DE
Purchase
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
Debt Obligation w/ Contingent Proceeds
$
$
$
2,222,222,222
1,111,111,111
2,222,222,222
Par
Par
Par
3/22/2010 6 $ 2,542,675,000
3/22/2010 6 $ 1,244,437,500
3/22/2010 6 $ 2,488,875,000
7/16/2010
7/16/2010
7/16/2010
$
$
$
2,486,550,000
620,578,258
1,241,156,516
1
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $ 2,488,875,000
7/16/2010
$
12/18/2009 Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
1,160,784,100
1,241,000,000
10
10
10
10
949,100,000
1
$
620,578,258
10
474,550,000
2
$
10
2
12/18/2009 Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
INITIAL COMMITMENT AMOUNT
$
$
2,222,222,222
30,000,000,000
Par
3/22/2010 6 $ 2,488,875,000
7/16/2010
FINAL COMMITMENT AMOUNT
$
$
2,321,568,200
10
10
TOTAL DISTRIBUTIONS
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
5
$
80,468,989
5,858,707,290
1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.
2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership
Agreement.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG
GECC fund, respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
70
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending July 27, 2012
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
4/13/2009
Adjustment Details
City
Select Portfolio Servicing
Salt Lake City
State
Transaction
Type
UT
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
$
1
376,000,000
Pricing
Mechanism
N/A
558,310,000 Updated portfolio data from servicer
$
128,690,000
$
687,000,000 Updated portfolio data from servicer
$
4,000,000
$
691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap
$
59,807,784
$
750,807,784 Updated portfolio data from servicer
$
$
O'Fallon
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000
N/A
$
3,600,000
$
$
(735) $
815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation
$
(100,000) $
815,806,410 Transfer of cap due to servicing transfer
$
400,000
816,206,410 Transfer of cap due to servicing transfer
$
(100,000) $
$
(6,805) $
$
(100,000) $
815,999,605 Transfer of cap due to servicing transfer
$
(200,000) $
815,799,605 Transfer of cap due to servicing transfer
$
(100,000) $
815,699,605 Transfer of cap due to servicing transfer
$
(100,000) $
815,599,605 Transfer of cap due to servicing transfer
$
200,000
$
815,799,605 Transfer of cap due to servicing transfer
$
24,800,000
$
840,599,605 Transfer of cap due to servicing transfer
$
1,900,000
$
842,499,605 Transfer of cap due to servicing transfer
$
80,000 $
842,579,605 Transfer of cap due to servicing transfer
$
$
7/16/2012
10310
812,307,145 Transfer of cap due to servicing transfer
6/28/2012
10310
$
6/14/2012
10310
100,000
5/16/2012
10310
$
4/16/2012
10310
(2,300,000) $
3/15/2012
10310
$
1/13/2012
10310
814,507,145 Updated portfolio data from servicer
11/16/2011
10310
(639) $
10/14/2011
10310
$
9/15/2011
10310
814,507,784 Updated portfolio data from servicer
8/16/2011
10310
$
6/29/2011
10310
64,400,000
750,107,784 Transfer of cap due to servicing transfer
6/16/2011
10310
10722
(355,530,000) $
5/13/2011
10310
10722
$
4/13/2011
10310
10722
$
3/30/2011
10310
10722
131,340,000
3/16/2011
10310
10722
$
2/16/2011
10310
10722
$
(700,000) $
660,590,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
782,500,000 initial cap
Updated portfolio data from servicer & HAFA
913,840,000 initial cap
1/13/2011
10310
10722
121,910,000
1/6/2011
10310
10722
$
12/15/2010
10310
$
11/16/2010
10310
284,590,000
9/30/2010
10310
$
9/30/2010
10310
6/12/2009
7/14/2010
10310
10722
Reason for Adjustment
3/26/2010
10310
10722
Adjusted Cap
12/30/2009
10310
CitiMortgage, Inc.
Cap Adjustment Amount
9/30/2009
10310
4/13/2009
Note
Adjustment
Date
$
2,430,000
6/12/2009
$
(991,580,000) $
9/30/2009
$
12/30/2009
$
(105,410,000) $
3/26/2010
$
(199,300,000) $
4/19/2010
$
(230,000) $
5/14/2010
$
(3,000,000) $
6/16/2010
$
(12,280,000) $
7/14/2010
$
(757,680,000) $
7/16/2010
$
(7,110,000) $
8/13/2010
$
(6,300,000) $
9/15/2010
$
(8,300,000) $
8,710,000
$
$
(5,176) $
1,010,180,000
$
$
812,207,145 Transfer of cap due to servicing transfer
816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation
851,289,605 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
851,284,429 reallocation
853,714,429 Transfer of cap due to servicing transfer
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,089,600,000 initial cap
Updated portfolio data from servicer & HAFA
1,984,190,000 initial cap
Updated portfolio data from servicer & 2MP initial
1,784,890,000 cap
Transfer of cap to Service One, Inc. due to
1,784,660,000 servicing transfer
Transfer of cap to Specialized Loan Servicing,
1,781,660,000 LLC due to servicing transfer
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer
1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 servicing transfer
Transfer of cap to multiple servicers due to
998,290,000 servicing transfer
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer
71
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10722
(4,600,000) $
1,103,976,503 Transfer of cap due to servicing transfer
$
(30,500,000) $
$
(1,031) $
$
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000
N/A
(7,200,000) $
1,066,375,472 Transfer of cap due to servicing transfer
$
(400,000) $
$
(9,131) $
$
(14,500,000) $
1,051,466,341 Transfer of cap due to servicing transfer
$
(1,600,000) $
1,049,866,341 Transfer of cap due to servicing transfer
$
700,000
$
1,050,566,341 Transfer of cap due to servicing transfer
$
15,200,000
$
1,065,766,341 Transfer of cap due to servicing transfer
$
(2,900,000) $
1,062,866,341 Transfer of cap due to servicing transfer
$
(5,000,000) $
1,057,866,341 Transfer of cap due to servicing transfer
$
(900,000) $
1,056,966,341 Transfer of cap due to servicing transfer
$
(1,100,000) $
1,055,866,341 Transfer of cap due to servicing transfer
$
(1,700,000) $
1,054,166,341 Transfer of cap due to servicing transfer
$
(600,000) $
1,053,566,341 Transfer of cap due to servicing transfer
$
(340,000) $
1,053,226,341 Transfer of cap due to servicing transfer
$
(2,880,000) $
$
(5,498) $
$
(298,960,000) $
751,380,843 Transfer of cap due to servicing transfer
7/27/2012
Des Moines
$
7/16/2012
10722
1,073,575,472 Transfer of cap due to servicing transfer
6/28/2012
10722
$
6/14/2012
10722
100,000
1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation
5/16/2012
10722
10423
$
4/16/2012
10722
10423
1,108,576,503 Transfer of cap due to servicing transfer
3/15/2012
10722
10423
(10,500,000) $
2/16/2012
10722
10423
$
1,119,076,503 Updated portfolio data from servicer
1/13/2012
10722
10423
(981) $
12/15/2011
10722
10423
$
11/16/2011
10722
10423
1,119,077,484 Transfer of cap due to servicing transfer
10/14/2011
10722
10423
(3,200,000) $
9/15/2011
10722
10423
$
8/16/2011
10722
10423
1,122,277,484 Transfer of cap due to servicing transfer
7/14/2011
10722
10423
(1,400,000) $
6/29/2011
10722
10423
$
6/16/2011
10722
10423
1,123,677,484 Updated portfolio data from servicer
5/13/2011
10722
10423
$
4/13/2011
10722
10423
101,287,484
3/30/2011
10722
$
3/16/2011
10722
1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap
2/16/2011
10722
$
1/13/2011
10722
32,400,000
1/6/2011
10722
$
11/16/2010
10722
10423
Reason for Adjustment
10/15/2010
10722
10423
Adjusted Cap
9/30/2010
10722
Wells Fargo Bank, NA
Cap Adjustment Amount
9/30/2010
10722
4/13/2009
Note
Adjustment
Date
$
263,550,000
$
1,014,930,843 Transfer of cap due to servicing transfer
6/17/2009
$
(462,990,000) $
9/30/2009
$
65,070,000
$
12/30/2009
$
1,213,310,000
$
2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,475,080,000 initial cap
Updated portfolio data from servicer & HAFA
3,688,390,000 initial cap
2/17/2010
$
2,050,236,344
$
5,738,626,344 Transfer of cap (from Wachovia) due to merger
3/12/2010
$
54,767 $
5,738,681,110 Transfer of cap (from Wachovia) due to merger
3/19/2010
$
668,108,890
$
6,406,790,000 Initial 2MP cap
3/26/2010
$
683,130,000
$
7,089,920,000 Updated portfolio data from servicer
7/14/2010
$
(2,038,220,000) $
5,051,700,000 Updated portfolio data from servicer
9/30/2010
$
(287,348,828) $
9/30/2010
$
344,000,000
$
4,764,351,172 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP
12/3/2010
$
8,413,225
$
5,116,764,397 Transfer of cap (from Wachovia) due to merger
12/15/2010
$
22,200,000
$
5,138,964,397 Updated portfolio data from servicer
1/6/2011
$
(6,312) $
5,138,958,085 Updated portfolio data from servicer
1/13/2011
$
(100,000) $
5,138,858,085 Transfer of cap due to servicing transfer
3/16/2011
$
(100,000) $
3/30/2011
$
(7,171) $
5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation
4/13/2011
$
(9,800,000) $
5/13/2011
$
100,000
$
1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation
1,050,346,341 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,050,340,843 reallocation
5,128,950,914 Transfer of cap due to servicing transfer
5,129,050,914 Transfer of cap due to servicing transfer
72
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10423
10315
10315
10315
10315
10315
10315
Irving
10458
10458
TX
Purchase
Financial Instrument for Home Loan Modifications
$
407,000,000
N/A
5,123,277,058 Transfer of cap due to servicing transfer
$
(2,040,000) $
$
(39,923) $
6/12/2009
$
384,650,000
$
$
2,537,240,000
$
$
(1,679,520,000) $
$
190,180,000
$
$
1,880,000
$
$
(881,530,000) $
$
(3,700,000) $
$
119,200,000
$
1,182,200,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,301,400,000 initial 2MP cap
$
216,998,139
$
1,518,398,139 Updated portfolio data from servicer
$
(500,000) $
1,517,898,139 Updated portfolio data from servicer
$
(1,734) $
1,517,896,405 Updated portfolio data from servicer
$
(100,000) $
$
(2,024) $
$
(800,000) $
$
(17,900,000) $
$
(18,457) $
$
(200,000) $
$
3,400,000
$
1,502,275,924 Transfer of cap due to servicing transfer
$
200,000
$
1,502,475,924 Transfer of cap due to servicing transfer
$
(800,000) $
1,501,675,924 Transfer of cap due to servicing transfer
$
(200,000) $
1,501,475,924 Transfer of cap due to servicing transfer
$
2,600,000
$
1,504,075,924 Transfer of cap due to servicing transfer
$
(1,600,000) $
1,502,475,924 Transfer of cap due to servicing transfer
$
(400,000) $
1,502,075,924 Transfer of cap due to servicing transfer
$
(100,000) $
1,501,975,924 Transfer of cap due to servicing transfer
$
(800,000) $
1,501,175,924 Transfer of cap due to servicing transfer
$
(990,000) $
6/28/2012
10315
(610,000) $
6/14/2012
10315
$
5/16/2012
10315
5,123,887,058 Transfer of cap due to servicing transfer
4/16/2012
10315
(800,000) $
3/15/2012
10315
$
1/13/2012
10315
5,124,687,058 Transfer of cap due to servicing transfer
12/15/2011
10315
(1,000,000) $
11/16/2011
10315
$
10/14/2011
10315
5,125,687,058 Transfer of cap due to servicing transfer
9/15/2011
10315
(200,000) $
8/16/2011
10315
$
7/14/2011
10315
5,125,887,058 Transfer of cap due to servicing transfer
6/29/2011
10315
(300,000) $
5/13/2011
10315
$
4/13/2011
10315
5,126,187,058 Transfer of cap due to servicing transfer
3/30/2011
10315
(200,000) $
3/16/2011
10315
$
1/6/2011
10315
5,126,387,058 Transfer of cap due to servicing transfer
12/15/2010
10315
(200,000) $
9/30/2010
10315
$
9/30/2010
10315
5,126,587,058 Transfer of cap due to servicing transfer
8/13/2010
N/A
$
7/14/2010
633,000,000
200,000
5/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
5,126,387,058 Transfer of cap due to servicing transfer
12/30/2009
Purchase
$
9/30/2009
PA
1,400,000
6/28/2012
Ft. Washington
$
6/14/2012
10423
5,124,987,058 Transfer of cap due to servicing transfer
5/16/2012
10423
(1,100,000) $
4/16/2012
10423
$
3/15/2012
10423
5,126,087,058 Transfer of cap due to servicing transfer
2/16/2012
10423
(2,300,000) $
1/13/2012
10423
$
12/15/2011
10423
(63,856) $
11/16/2011
10423
$
10/14/2011
10423
(600,000) $
9/15/2011
10423
$
8/16/2011
10423
Saxon Mortgage Services, Inc.
Reason for Adjustment
7/14/2011
10423
4/13/2009
Adjusted Cap
6/29/2011
10423
GMAC Mortgage, Inc.
Cap Adjustment Amount
6/16/2011
10423
4/13/2009
Note
Adjustment
Date
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
$
(12,463) $
1,500,185,924 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,173,461 reallocation
6/17/2009
$
225,040,000
$
9/30/2009
$
254,380,000
$
12/30/2009
$
355,710,000
$
5,121,237,058 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,121,197,135 reallocation
1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
3,554,890,000 initial cap
Updated portfolio data from servicer & HAFA
1,875,370,000 initial cap
2,065,550,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
2,067,430,000 due to servicing transfer
1,185,900,000 Updated portfolio data from servicer
1,517,796,405 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,517,794,381 reallocation
1,516,994,381 Transfer of cap due to servicing transfer
1,499,094,381 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,499,075,924 reallocation
1,498,875,924 Transfer of cap due to servicing transfer
632,040,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
886,420,000 initial cap
Updated portfolio data from servicer & HAFA
1,242,130,000 initial cap
73
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
10458
Chase Home Finance, LLC
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
3,552,000,000
N/A
4/16/2009
Ocwen Financial Corporation, Inc.
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000
N/A
10500
10500
10500
10500
10500
10500
$
619,642,668 Transfer of cap due to servicing transfer
$
8,900,000
$
628,542,668 Updated portfolio data from servicer
$
(556) $
628,542,112 Updated portfolio data from servicer
$
2,300,000
$
630,842,112 Transfer of cap due to servicing transfer
$
700,000
$
$
631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation
$
$
$
200,000
$
633,835,314 Transfer of cap due to servicing transfer
$
(100,000) $
633,735,314 Transfer of cap due to servicing transfer
$
(700,000) $
633,035,314 Transfer of cap due to servicing transfer
$
2,100,000
$
(6,144) $
2
17,500,000
633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation
$
650,535,314 Transfer of cap due to servicing transfer
$
(100,000) $
650,435,314 Transfer of cap due to servicing transfer
$
100,000
$
650,535,314 Transfer of cap due to servicing transfer
$
(17,500,000) $
633,035,314 Transfer of cap due to servicing transfer
$
(760,000) $
632,275,314 Transfer of cap due to servicing transfer
$
(354,290,000) $
$
(1,831) $
7/16/2012
4/13/2009
10500
100,000
6/28/2012
10458
10500
$
6/14/2012
10458
10500
619,542,668 Updated portfolio data from servicer
491,720,000 Transfer of cap due to multiple servicing transfers
5/16/2012
10458
10500
$
514,700,000 Updated portfolio data from servicer
4/16/2012
10458
10500
116,222,668
(654) $
1,184,410,000 Updated portfolio data from servicer
Transfer of cap to Ocwen Financial Corporation,
1,028,360,000 Inc. due to servicing transfer
3/15/2012
10458
10500
$
2/16/2012
10458
10500
503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap
12/15/2011
10458
10500
$
9/15/2011
10458
9,800,000
8/16/2011
10458
$
7/14/2011
10458
493,520,000 Transfer of cap due to servicing transfer
6/29/2011
10458
$
4/13/2011
10458
1,800,000
3/30/2011
10458
$
3/16/2011
10458
(22,980,000) $
1/13/2011
10458
$
1/6/2011
10458
(513,660,000) $
12/15/2010
10458
$
10/15/2010
10458
(156,050,000) $
9/30/2010
10458
$
9/30/2010
10458
(57,720,000) $
9/15/2010
10458
$
7/16/2010
10458
10500
Reason for Adjustment
7/14/2010
10458
10500
Adjusted Cap
6/16/2010
10458
10500
Cap Adjustment Amount
3/26/2010
10458
10500
Adjustment
Date
$
(10,120,000) $
7/31/2009
$
(3,552,000,000) $
6/12/2009
$
(105,620,000) $
9/30/2009
$
102,580,000
$
12/30/2009
$
277,640,000
$
3/26/2010
$
46,860,000
$
6/16/2010
$
156,050,000
$
7/14/2010
$
(191,610,000) $
7/16/2010
$
23,710,000
$
944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
968,610,000 Inc. due to servicing transfer
9/15/2010
$
100,000
$
968,710,000 Initial FHA-HAMP cap
9/30/2010
$
3,742,740
$
972,452,740 Updated portfolio data from servicer
10/15/2010
$
170,800,000
$
1/6/2011
$
2/16/2011
$
3/30/2011
$
(1,114) $
6/29/2011
$
(10,044) $
10/14/2011
$
(100,000) $
1/13/2012
$
194,800,000
$
1,338,840,562 Transfer of cap due to servicing transfer
2/16/2012
$
400,000
$
1,339,240,562 Transfer of cap due to servicing transfer
3/15/2012
$
100,000
$
1,339,340,562 Transfer of cap due to servicing transfer
5/16/2012
$
123,530,000
$
1,462,870,562 Transfer of cap due to servicing transfer
(1,020) $
900,000
$
277,985,314 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
277,983,483 reallocation
267,863,483 Transfer of cap due to servicing transfer
- Termination of SPA
553,380,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
655,960,000 initial cap
Updated portfolio data from servicer & HAFA
933,600,000 initial cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer
1,143,252,740 Transfer of cap due to servicing transfer
1,143,251,720 Updated portfolio data from servicer
1,144,151,720 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,144,150,606 reallocation
Updated due to quarterly assessment and
1,144,140,562 reallocation
1,144,040,562 Transfer of cap due to servicing transfer
74
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10500
Simi Valley
10512
10512
10512
10512
10512
Countrywide Home Loans Servicing LP (BAC Home Loans Simi Valley
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,864,000,000
N/A
665,510,000
$
$
800,390,000
$
2,433,020,000 Initial 2MP cap
$
(829,370,000) $
1,603,650,000 Updated portfolio data from servicer
$
(366,750,000) $
$
95,300,000
$
1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
$
(2,199) $
$
(2,548) $
$
(23,337) $
$
(300,000) $
1,554,813,000 Transfer of cap due to servicing transfer
$
(120,700,000) $
1,434,113,000 Transfer of cap due to servicing transfer
$
(900,000) $
1,433,213,000 Transfer of cap due to servicing transfer
$
(200,000) $
6/28/2012
10512
$
5/16/2012
10512
$
11/16/2011
10512
162,680,000
10/14/2011
10512
$
804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
967,120,000 initial cap
Updated portfolio data from servicer & HAFA
1,632,630,000 initial cap
8/16/2011
10512
$
6/29/2011
10512
5,540,000
3/30/2011
10512
$
1/6/2011
10512
6/12/2009
9/30/2010
10512
1,827,234,254 Transfer of cap due to servicing transfer
9/30/2010
N/A
$
7/14/2010
798,900,000
10,080,000
3/26/2010
$
$
1/26/2010
Financial Instrument for Home Loan Modifications
$
12/30/2009
Purchase
$
9/30/2009
CA
354,290,000
$
Reason for Adjustment
7/16/2012
10512
4/17/2009 as
amended on
1/26/2010
Adjusted Cap
6/28/2012
10500
Bank of America, N.A.
Cap Adjustment Amount
6/14/2012
10500
4/17/2009 as
amended on
1/26/2010
Note
Adjustment
Date
$
(17,893) $
1,433,013,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,432,995,107 reallocation
6/12/2009
$
9/30/2009
$
12/30/2009
$
2,290,780,000
$
5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
4,465,420,000 initial cap
Updated portfolio data from servicer & HAFA
6,756,200,000 initial cap
1/26/2010
$
450,100,000
$
7,206,300,000 Initial 2MP cap
3/26/2010
$
905,010,000
$
4/19/2010
$
10,280,000
$
6/16/2010
$
286,510,000
$
8,111,310,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
8,121,590,000 due to servicing transfer
Transfer of cap from Wilshire Credit Corporation
8,408,100,000 due to servicing transfer
7/14/2010
$
9/30/2010
$
105,500,000
9/30/2010
$
(614,527,362) $
6,111,772,638 Updated portfolio data from servicer
12/15/2010
$
236,000,000
$
6,347,772,638 Updated portfolio data from servicer
1/6/2011
$
(8,012) $
6,347,764,626 Updated portfolio data from servicer
2/16/2011
$
1,800,000
$
6,349,564,626 Transfer of cap due to servicing transfer
3/16/2011
$
100,000
$
3/30/2011
$
6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation
4/13/2011
$
200,000
$
6,349,855,436 Transfer of cap due to servicing transfer
5/13/2011
$
300,000
$
6,350,155,436 Transfer of cap due to servicing transfer
6/16/2011
$
(1,000,000) $
6/29/2011
$
(82,347) $
7/14/2011
$
(200,000) $
6,348,873,089 Transfer of cap due to servicing transfer
8/16/2011
$
(3,400,000) $
6,345,473,089 Transfer of cap due to servicing transfer
9/15/2011
$
(1,400,000) $
6,344,073,089 Transfer of cap due to servicing transfer
10/14/2011
$
120,600,000
$
10/19/2011
$
317,956,289
$
6,464,673,089 Transfer of cap due to servicing transfer
and Wilshire Credit Corporation due to merger.
6,782,629,378
11/16/2011
$
800,000
$
6,783,429,378 Transfer of cap due to servicing transfer
12/15/2011
$
(17,600,000) $
6,765,829,378 Transfer of cap due to servicing transfer
2/16/2012
$
(2,100,000) $
6,763,729,378 Transfer of cap due to servicing transfer
(6,308) $
3,318,840,000
$
(717,420,000) $
(1,787,300,000) $
$
(9,190) $
1,817,160,562 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,817,154,254 reallocation
1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation
Updated due to quarterly assessment and
1,555,113,000 reallocation
6,620,800,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
6,726,300,000 initial RD-HAMP
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation
75
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
1000832
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
4/24/2009
Green Tree Servicing LLC
13
Saint Paul
10309
10309
10309
10309
10309
10309
10309
10309
10309
MN
Purchase
Financial Instrument for Home Loan Modifications
$
156,000,000
N/A
$
$
(77,126,410) $
478,973,590 Updated portfolio data from servicer
$
(314,900,000) $
164,073,590 Updated portfolio data from servicer
$
(233) $
164,073,357 Updated portfolio data from servicer
$
(1,900,000) $
$
(400,000) $
$
(278) $
$
(400,000) $
$
(2,625) $
10/19/2011
$
(155,061,221) $
$
$
(249,670,000) $
$
119,700,000
$
$
52,270,000
$
$
(10,280,000) $
$
(1,880,000) $
$
(286,510,000) $
$
$
(210,000) $
96,300,000 Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC due
96,090,000 to servicing transfer
$
(100,000) $
95,990,000 Transfer of cap due to servicing transfer
$
$
(247) $
$
(294) $
6/29/2011
N/A
549,400,000 Updated portfolio data from servicer
3/30/2011
366,000,000
(73,010,000) $
1/6/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
622,410,000 Updated portfolio data from servicer
8/13/2010
Purchase
(17,440,000) $
7/16/2010
OR
$
7/14/2010
Beaverton
$
6/16/2010
13
145,820,000
5/14/2010
10316
$
4/19/2010
10316
$
3/26/2010
10316
46,730,000
12/30/2009
10316
$
9/30/2009
10316
$
6/12/2009
10316
128,300,000
6/29/2011
10316
$
5/13/2011
10316
(6,840,000) $
3/30/2011
10316
$
3/16/2011
10316
(58,550) $
2/16/2011
10316
$
1/6/2011
10316
(8,860,000) $
12/15/2010
10316
$
9/30/2010
10316
6,676,049,378 Transfer of cap due to servicing transfer
6/12/2009
N/A
20,000 $
9/30/2010
319,000,000
$
7/14/2010
$
6,676,029,378 Transfer of cap due to servicing transfer
3/26/2010
Financial Instrument for Home Loan Modifications
(63,800,000) $
12/30/2009
Purchase
$
9/30/2009
PA
6,739,829,378 Transfer of cap due to servicing transfer
7/16/2012
Pittsburgh
(23,900,000) $
6/28/2012
1000832
$
6/14/2012
1000832
Wilshire Credit Corporation
Reason for Adjustment
5/16/2012
1000832
4/20/2009
Adjusted Cap
4/16/2012
1000832
Home Loan Services, Inc.
Cap Adjustment Amount
3/15/2012
1000832
4/20/2009
Adjustment
Date
$
(2,779) $
10/19/2011
$
(162,895,068) $
6/17/2009
$
(64,990,000) $
9/30/2009
$
130,780,000
12/30/2009
$
3/26/2010
$
13,080,000
7/14/2010
$
(24,220,000) $
7/16/2010
$
210,000
$
93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
94,110,000 due to servicing transfer
8/13/2010
$
2,200,000
$
96,310,000 Transfer of cap due to servicing transfer
9/10/2010
$
34,600,000
$
130,910,000 Initial 2MP cap
9/30/2010
$
5,600,000
$
136,510,000 Initial FHA-2LP cap and FHA-HAMP
9/30/2010
$
10,185,090
$
146,695,090 Updated portfolio data from servicer
6,700,000
87,130,000
19,540,000
68,565,782
$
$
$
$
$
(116,750,000) $
$
6,667,189,378 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,667,130,828 reallocation
6,660,290,828 Transfer of cap due to servicing transfer
447,300,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
494,030,000 initial cap
Updated portfolio data from servicer & HAFA
639,850,000 initial cap
556,100,000 Initial FHA-2LP cap
162,173,357 Transfer of cap due to servicing transfer
161,773,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,773,079 reallocation
161,373,079 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,370,454 reallocation
6,309,233 Termination of SPA
453,130,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
203,460,000 initial cap
Updated portfolio data from servicer & HAFA
323,160,000 initial cap
375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans due
365,150,000 to servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
363,270,000 servicing transfer
Transfer of cap to Countrywide Home Loans due
76,760,000 to servicing transfer
164,555,782 Updated portfolio data from servicer
164,555,535 Updated portfolio data from servicer
Updated due to quarterly assessment and
164,555,241 reallocation
Updated due to quarterly assessment and
164,552,462 reallocation
1,657,394 Termination of SPA
91,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
221,790,000 initial cap
Updated portfolio data from servicer & HAFA
105,040,000 initial cap
118,120,000 Updated portfolio data from servicer
76
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10309
10503
10503
10503
10503
10503
10503
Littleton
10231
10231
10231
10231
10231
10231
10231
10231
CO
Purchase
Financial Instrument for Home Loan Modifications
$
798,000,000
N/A
151,992,325 Transfer of cap due to servicing transfer
$
100,000
$
152,092,325 Transfer of cap due to servicing transfer
$
3,260,000
$
155,352,325 Transfer of cap due to servicing transfer
$
920,000
$
$
156,272,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,270,703 reallocation
$
110,000
6/17/2009
$
(63,980,000) $
$
90,990,000
$
$
57,980,000
$
131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
222,010,000 initial cap
Updated portfolio data from servicer & HAFA
279,990,000 initial cap
$
74,520,000
$
354,510,000 Updated portfolio data from servicer
$
(75,610,000) $
278,900,000 Updated portfolio data from servicer
$
1,100,000
$
280,000,000 Transfer of cap due to servicing transfer
$
3,763,685
$
283,763,685 Updated portfolio data from servicer
$
300,000
$
284,063,685 Updated portfolio data from servicer
$
(325) $
284,063,360 Updated portfolio data from servicer
$
$
(384) $
$
(3,592) $
$
1,800,000
$
288,259,384 Transfer of cap due to servicing transfer
$
100,000
$
288,359,384 Transfer of cap due to servicing transfer
$
1,000,000
$
289,359,384 Transfer of cap due to servicing transfer
$
1,100,000
$
290,459,384 Transfer of cap due to servicing transfer
$
100,000
$
290,559,384 Transfer of cap due to servicing transfer
$
850,000
$
291,409,384 Transfer of cap due to servicing transfer
$
2,240,000
$
$
293,649,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
293,646,864 reallocation
7/16/2012
10503
$
6/28/2012
10503
900,000
6/14/2012
10503
$
5/16/2012
10503
151,092,325 Transfer of cap due to servicing transfer
4/16/2012
10503
$
2/16/2012
10503
400,000
11/16/2011
10503
$
9/15/2011
10503
150,692,325 Transfer of cap due to servicing transfer
8/16/2011
10503
$
6/29/2011
10503
200,000
3/30/2011
10503
$
1/13/2011
10503
150,492,325 Transfer of cap due to servicing transfer
1/6/2011
10503
$
12/15/2010
10503
200,000
9/30/2010
N/A
$
8/13/2010
195,000,000
150,292,325 Transfer of cap due to servicing transfer
7/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
1,900,000
12/30/2009
Purchase
$
9/30/2009
CA
$
148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation
7/16/2012
Santa Ana
$
6/28/2012
10309
100,000
6/14/2012
10309
$
5/16/2012
10309
148,294,627 Transfer of cap due to servicing transfer
3/15/2012
10309
$
2/16/2012
10309
1,200,000
11/16/2011
10309
$
10/14/2011
10309
(250) $
9/15/2011
10309
$
7/14/2011
10309
(213) $
6/29/2011
10309
$
6/16/2011
10309
$
5/13/2011
10309
Aurora Loan Services, LLC
Reason for Adjustment
3/30/2011
10309
5/1/2009
Adjusted Cap
1/6/2011
10309
Carrington Mortgage Services, LLC
Cap Adjustment Amount
10/15/2010
10309
4/27/2009
Note
Adjustment
Date
$
1,690,000
6/17/2009
$
(338,450,000) $
9/30/2009
$
(11,860,000) $
12/30/2009
$
21,330,000
$
459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
447,690,000 initial cap
Updated portfolio data from servicer & HAFA
469,020,000 initial cap
3/26/2010
$
9,150,000
$
478,170,000 Updated portfolio data from servicer
7/14/2010
$
(76,870,000) $
401,300,000 Updated portfolio data from servicer
9/1/2010
$
400,000
9/30/2010
$
(8,454,269) $
1/6/2011
$
(342) $
3/30/2011
$
(374) $
400,000
$
(2,302) $
(1,622) $
2,400,000
$
$
(2,520) $
$
$
147,095,090 Transfer of cap due to servicing transfer
147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation
156,380,703 Transfer of cap due to servicing transfer
286,463,360 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
286,462,976 reallocation
Updated due to quarterly assessment and
286,459,384 reallocation
295,336,864 Transfer of cap due to servicing transfer
401,700,000 Initial FHA-HAMP cap
393,245,731 Updated portfolio data from servicer
393,245,389 Updated portfolio data from servicer
Updated due to quarterly assessment and
393,245,015 reallocation
77
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10231
Residential Credit Solutions
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
6/17/2009
CCO Mortgage
Glen Allen
VA
Purchase
Financial Instrument for Home Loan Modifications
$
16,520,000
N/A
33,801,486
$
350,101,486 Updated portfolio data from servicer
$
700,000
$
350,801,486 Transfer of cap due to servicing transfer
$
1,700,000
$
352,501,486 Updated portfolio data from servicer
$
(363) $
352,501,123 Updated portfolio data from servicer
$
900,000
$
353,401,123 Transfer of cap due to servicing transfer
$
29,800,000
$
$
383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation
$
$
$
100,000
$
403,373,950 Transfer of cap due to servicing transfer
$
(100,000) $
403,273,950 Transfer of cap due to servicing transfer
$
90,000 $
403,363,950 Transfer of cap due to servicing transfer
$
(2,380,000) $
$
(2,957) $
$
(2,580,000) $
9/30/2009
$
(1,860,000) $
$
27,920,000
$
(1,390,000) $
$
(13,870,000) $
$
400,000
$
30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
30,600,000 initial 2MP cap
$
586,954
$
31,186,954 Updated portfolio data from servicer
$
(34) $
$
(37) $
$
$
(329) $
$
(1,900,000) $
29,386,554 Transfer of cap due to servicing transfer
$
2,800,000
$
32,186,554 Transfer of cap due to servicing transfer
$
420,000
$
32,606,554 Transfer of cap due to servicing transfer
$
8,060,000
$
$
40,666,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,666,241 reallocation
7/16/2012
10326
$
6/28/2012
10326
$
6/14/2012
N/A
2,900,000
5/16/2012
19,400,000
$
313,400,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, initial
316,300,000 RD-HAMP, and initial 2MP cap
11/16/2011
$
$
9/15/2011
Financial Instrument for Home Loan Modifications
100,000
6/29/2011
Purchase
$
4/13/2011
TX
313,300,000 Updated portfolio data from servicer
3/30/2011
Fort Worth
(85,900,000) $
1/6/2011
10406
$
9/30/2010
10406
399,200,000 Updated portfolio data from servicer
9/30/2010
10406
$
7/14/2010
10406
67,250,000
3/26/2010
10406
$
12/30/2009
10406
$
7/16/2012
10406
80,250,000
6/28/2012
10406
$
6/14/2012
10406
$
5/16/2012
10406
134,560,000
3/15/2012
10406
$
117,140,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
251,700,000 initial cap
Updated portfolio data from servicer & HAFA
331,950,000 initial cap
11/16/2011
10406
$
6/29/2011
10406
16,140,000
5/26/2011
10406
$
3/30/2011
10406
6/12/2009
3/16/2011
10406
(90,000) $
2/16/2011
10406
$
1/6/2011
10406
(1,768) $
12/15/2010
10406
$
11/16/2010
10406
(500,000) $
9/30/2010
10406
$
9/30/2010
N/A
411,141,742 Transfer of cap due to servicing transfer
8/13/2010
101,000,000
100,000
7/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
411,041,742 Transfer of cap due to servicing transfer
12/30/2009
Purchase
(200,000) $
9/30/2009
TX
$
7/16/2012
Lewisville
(3,273) $
6/28/2012
10231
$
4/16/2012
10231
$
3/15/2012
10231
18,000,000
$
Reason for Adjustment
10/14/2011
10231
6/12/2009
Adjusted Cap
6/29/2011
10231
Nationstar Mortgage LLC
Cap Adjustment Amount
5/13/2011
10231
5/28/2009
Note
Adjustment
Date
$
2,160,000
$
9/30/2009
$
13,070,000
$
$
(428) $
20,077,503
$
(4,248) $
100,000
$
$
(313) $
411,245,015 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
411,241,742 reallocation
410,641,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
410,639,974 reallocation
410,549,974 Transfer of cap due to servicing transfer
403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation
400,983,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
400,980,993 reallocation
398,400,993 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
17,540,000 initial cap
Updated portfolio data from servicer & HAFA
45,460,000 initial cap
44,070,000 Updated portfolio data from servicer
31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation
31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation
42,826,241 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
29,590,000 initial cap
78
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
10052
Wescom Central Credit Union
Financial Instrument for Home Loan Modifications
$
540,000
N/A
10126
10126
10126
10126
10126
10126
10126
10126
10126
10126
6/26/2009
12
9
Citizens First Wholesale Mortgage Company
The Villages
FL
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10002
10002
10002
10002
10002
6/26/2009
Technology Credit Union
San Jose
10014
10014
10014
10014
10014
10014
CA
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
(4,459,154) $
41,340,846 Updated portfolio data from servicer
$
(4,300,000) $
37,040,846 Updated portfolio data from servicer
$
(51) $
$
(65) $
$
(616) $
$
(462) $
$
2,020,000
$
37,040,795 Updated portfolio data from servicer
Updated due to quarterly assessment and
37,040,730 reallocation
Updated due to quarterly assessment and
37,040,114 reallocation
Updated due to quarterly assessment and
37,039,652 reallocation
Updated portfolio data from servicer & HAFA
2,790,000 initial cap
$
11,370,000
$
14,160,000 Updated portfolio data from servicer
$
(14,160,000) $
$
330,000
$
$
16,490,000
$
$
(14,260,000) $
3,100,000 Updated portfolio data from servicer
$
(1,800,000) $
1,300,000 Updated portfolio data from servicer
$
1,500,000
$
2,800,000 Updated portfolio data from servicer
$
1,551,668
$
4,351,668 Updated portfolio data from servicer
$
(2) $
$
(2) $
$
(1,800,000) $
6/3/2011
$
(1,872,787) $
6/14/2012
$
9/30/2009
$
$
590,000
$
(580,000) $
30,000 Updated portfolio data from servicer
$
70,000 $
100,000 Updated portfolio data from servicer
$
45,056 $
145,056 Updated portfolio data from servicer
2/17/2011
Purchase
$
9/30/2010
CA
45,800,000 Updated portfolio data from servicer
7/14/2010
Anaheim
(8,860,000) $
3/26/2010
10224
$
12/30/2009
10224
54,660,000 Updated portfolio data from servicer
5/13/2011
N/A
(14,470,000) $
3/30/2011
770,000
$
1/6/2011
$
69,130,000 Updated portfolio data from servicer
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/30/2010
Purchase
65,640,000
7/14/2010
WA
$
3/26/2010
Port Angeles
(42,210,000) $
12/30/2009
10131
$
9/30/2009
10131
(11,300,000) $
5/26/2010
10131
$
3/26/2010
10131
(309) $
12/30/2009
10131
$
6/28/2012
10131
(452) $
6/29/2011
10131
$
3/30/2011
10131
(55) $
1/6/2011
10131
$
42,646,300 Updated portfolio data from servicer
Updated due to quarterly assessment and
42,646,245 reallocation
Updated due to quarterly assessment and
42,645,793 reallocation
Updated due to quarterly assessment and
42,645,484 reallocation
Updated portfolio data from servicer & HPDP
45,700,000 initial cap
Updated portfolio data from servicer & HAFA
3,490,000 initial cap
12/15/2010
10131
(46) $
9/30/2009
N/A
$
9/30/2010
57,000,000
$
7/14/2010
$
34,800,000 Updated portfolio data from servicer
4/9/2010
Financial Instrument for Home Loan Modifications
(23,350,000) $
3/26/2010
Purchase
$
12/30/2009
PR
58,150,000 Updated portfolio data from servicer
6/28/2012
San Juan
(116,950,000) $
6/29/2011
10052
$
3/30/2011
10052
145,510,000
1/6/2011
10052
6/19/2009
Updated portfolio data from servicer & HAFA
175,100,000 initial cap
$
9/30/2010
10052
First Federal Savings and Loan
Reason for Adjustment
7/14/2010
10052
6/19/2009
Adjusted Cap
3/26/2010
10052
RG Mortgage Corporation
Cap Adjustment Amount
12/30/2009
10052
6/17/2009
Adjustment
Date
$
(145,056) $
12/30/2009
$
3/26/2010
$
(720,000) $
1,530,000 Updated portfolio data from servicer
7/14/2010
$
(430,000) $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
60,445 $
1,160,445 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(12) $
7,846,346
990,000
$
$
$
(10,000) $
2,180,000
$
$
42,646,346 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP
870,000 initial cap
Updated portfolio data from servicer & HAFA
17,360,000 initial cap
4,351,666 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,351,664 reallocation
2,551,664 Transfer of cap due to servicing transfer
678,877 Termination of SPA
1,668,877 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
20,000 initial cap
Updated portfolio data from servicer & HAFA
610,000 initial cap
- Termination of SPA
Updated portfolio data from servicer & HAFA
2,250,000 initial cap
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,443 reallocation
Updated due to quarterly assessment and
1,160,431 reallocation
79
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
10014
6/26/2009
National City Bank
10349
Des Moines
IA
Purchase
Financial Instrument for Home Loan Modifications
$
634,010,000
N/A
1000642
1000642
1000642
3
Coral Gables
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
FL
Purchase
Financial Instrument for Home Loan Modifications
$
44,260,000
N/A
560,929,176 Updated portfolio data from servicer
$
200,000
$
(100,000) $
$
(981) $
$
(2,300,000) $
558,728,195 Transfer of cap due to servicing transfer
$
(200,000) $
558,528,195 Transfer of cap due to servicing transfer
$
(200,000) $
$
(9,197) $
558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation
$
-
$
558,318,998 Transfer of cap due to servicing transfer
$
300,000
$
558,618,998 Transfer of cap due to servicing transfer
$
(300,000) $
558,318,998 Transfer of cap due to servicing transfer
$
200,000
$
558,518,998 Transfer of cap due to servicing transfer
$
(100,000) $
558,418,998 Transfer of cap due to servicing transfer
$
200,000
558,618,998 Transfer of cap due to servicing transfer
$
(10,000) $
$
(6,771) $
$
723,880,000
$
$
692,640,000
$
2/17/2010
10349
(828) $
12/30/2009
10349
$
9/30/2009
10349
560,930,004 Updated portfolio data from servicer
6/28/2012
10349
$
6/14/2012
10349
71,230,004
3/15/2012
10349
$
2/16/2012
10349
$
1/13/2012
10349
80,600,000
11/16/2011
10349
$
409,100,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
489,700,000 initial 2MP cap
10/14/2011
10349
(272,640,000) $
8/16/2011
10349
$
6/29/2011
10349
(18,690,000) $
6/16/2011
10349
$
5/13/2011
10349
$
4/13/2011
10349
90,280,000
3/30/2011
10349
$
3/16/2011
10349
$
2/16/2011
N/A
315,170,000
1/6/2011
294,980,000
$
9/30/2010
$
9/30/2009
9/30/2010
Financial Instrument for Home Loan Modifications
10349
Bayview Loan Servicing, LLC
Updated due to quarterly assessment and
1,160,422 reallocation
Updated portfolio data from servicer & HPDP
610,150,000 initial cap
Updated portfolio data from servicer & HAFA
700,430,000 initial cap
$
7/14/2010
Purchase
(9) $
Reason for Adjustment
3/26/2010
OH
10349
7/1/2009
Adjusted Cap
12/30/2009
Miamisburg
Wachovia Mortgage, FSB
Cap Adjustment Amount
6/28/2012
10349
7/1/2009
Adjustment
Date
$
(2,050,236,344) $
3/12/2010
$
(54,767) $
9/30/2009
$
23,850,000
$
12/30/2009
$
43,590,000
$
3/26/2010
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
5/7/2010
$
1,010,000
$
147,250,000 Initial 2MP cap
7/14/2010
$
(34,250,000) $
9/30/2010
$
600,000
9/30/2010
$
(15,252,303) $
1/6/2011
$
(70) $
3/30/2011
$
(86) $
4/13/2011
$
400,000
$
98,747,541 Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
6/29/2011
$
98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation
9/15/2011
$
600,000
$
99,446,770 Transfer of cap due to servicing transfer
10/14/2011
$
(18,900,000) $
80,546,770 Transfer of cap due to servicing transfer
1/13/2012
$
900,000
$
81,446,770 Transfer of cap due to servicing transfer
2/16/2012
$
2,400,000
$
83,846,770 Transfer of cap due to servicing transfer
3/15/2012
$
(100,000) $
83,746,770 Transfer of cap due to servicing transfer
4/16/2012
$
200,000
$
83,946,770 Transfer of cap due to servicing transfer
5/16/2012
$
30,000 $
83,976,770 Transfer of cap due to servicing transfer
$
$
$
(771) $
681,740,000 Updated portfolio data from servicer
561,129,176 Transfer of cap due to servicing transfer
561,029,176 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
561,028,195 reallocation
558,608,998 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,602,227 reallocation
Updated portfolio data from servicer & HPDP
1,357,890,000 initial cap
Updated portfolio data from servicer & HAFA
2,050,530,000 initial cap
Transfer of cap (to Wells Fargo Bank) due to
293,656 merger
Transfer of cap (to Wells Fargo Bank) due to
238,890 merger
Updated portfolio data from servicer & HPDP
68,110,000 initial cap
Updated portfolio data from servicer & HAFA
111,700,000 initial cap
113,000,000 Updated portfolio data from servicer
113,600,000 Initial FHA-2LP cap
98,347,697 Updated portfolio data from servicer
98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation
80
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
1000667
9/30/2009
IBM Southeast Employees' Federal Credit Union
7/17/2009
MorEquity, Inc.
1000957
1000957
1000957
1000957
1000957
1000957
1000957
1000957
7/17/2009
PNC Bank, National Association
11
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
54,470,000
N/A
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
7/17/2009
Farmers State Bank
West Salem
10612
10612
10612
OH
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
$
(400,000) $
700,000 Updated portfolio data from servicer
$
170,334
$
870,334 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(12) $
$
(9) $
$
18,530,000
$
$
24,510,000
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,311 reallocation
Updated portfolio data from servicer & HPDP
42,010,000 initial cap
Updated portfolio data from servicer & HAFA
66,520,000 initial cap
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
$
(22,580,000) $
62,300,000 Updated portfolio data from servicer
$
(8,194,261) $
54,105,739 Updated portfolio data from servicer
$
(37) $
54,105,702 Updated portfolio data from servicer
$
(29,400,000) $
$
(34) $
5/26/2011
$
(20,077,503) $
9/30/2009
$
(36,240,000) $
$
19,280,000
$
24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP
18,230,000 initial cap
Updated portfolio data from servicer & HAFA
37,510,000 initial cap
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
$
(17,180,000) $
22,800,000 Updated portfolio data from servicer
$
35,500,000
$
58,300,000 Initial FHA-2LP cap and initial 2MP cap
$
23,076,191
$
81,376,191 Updated portfolio data from servicer
$
(123) $
$
(147) $
$
(100,000) $
$
(1,382) $
$
(300,000) $
6/28/2012
N/A
1,100,000 Updated portfolio data from servicer
10/14/2011
23,480,000
(10,000) $
6/29/2011
$
$
5/13/2011
Financial Instrument for Home Loan Modifications
250,000
3/30/2011
Purchase
$
1/6/2011
IN
(10,000) $
9/30/2010
Evansville
$
9/30/2010
10029
(4) $
7/14/2010
10029
$
3/26/2010
10029
(6) $
12/30/2009
10029
$
3/30/2011
10029
(1) $
3/16/2011
10029
$
1/6/2011
10029
(1) $
9/30/2010
10029
$
9/30/2009
N/A
435,167 Updated portfolio data from servicer
7/14/2010
870,000
35,167 $
3/26/2010
$
$
12/30/2009
Financial Instrument for Home Loan Modifications
400,000 Updated portfolio data from servicer
6/28/2012
Purchase
(30,000) $
6/29/2011
FL
$
3/30/2011
Delray Beach
430,000 Updated portfolio data from servicer
1/6/2011
10355
50,000 $
9/30/2010
10355
$
7/14/2010
10355
$
3/26/2010
10355
130,000
12/30/2009
10355
$
9/30/2009
10355
$
6/28/2012
10355
150,000
6/29/2011
N/A
$
3/30/2011
100,000
$
1/6/2011
$
2,660,000
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
$
3/26/2010
OH
$
12/30/2009
Mentor
1,810,000
$
Reason for Adjustment
7/16/2012
10355
7/10/2009
Adjusted Cap
6/28/2012
1000667
Lake National Bank
Cap Adjustment Amount
6/14/2012
1000667
7/10/2009
Adjustment
Date
$
(1,003) $
9/30/2009
$
(90,000) $
12/30/2009
$
50,000 $
3/26/2010
$
100,000
$
230,000 Updated portfolio data from servicer
7/14/2010
$
(130,000) $
100,000 Updated portfolio data from servicer
(508) $
$
85,786,770 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
85,786,262 reallocation
88,446,262 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
250,000 initial cap
Updated portfolio data from servicer & HAFA
380,000 initial cap
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated due to quarterly assessment and
435,155 reallocation
Updated portfolio data from servicer & HPDP
860,000 initial cap
Updated portfolio data from servicer & HAFA
1,110,000 initial cap
81,376,068 Updated portfolio data from servicer
Updated due to quarterly assessment and
81,375,921 reallocation
81,275,921 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
81,274,539 reallocation
80,974,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
80,973,536 reallocation
Updated portfolio data from servicer & HPDP
80,000 initial cap
Updated portfolio data from servicer & HAFA
130,000 initial cap
81
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10612
ShoreBank
10727
10727
10727
Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000
N/A
10439
10439
10439
10439
10439
10439
10439
10439
7/22/2009
Mission Federal Credit Union
San Diego
1000455
1000455
1000455
1000455
1000455
1000455
CA
Purchase
Financial Instrument for Home Loan Modifications
$
860,000
N/A
(53,670,000) $
$
250,450,000
$
$
124,820,000
$
1,594,090,000 Updated portfolio data from servicer
$
(289,990,000) $
1,304,100,000 Updated portfolio data from servicer
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
$
(100,000) $
1,305,990,508 Transfer of cap due to servicing transfer
$
(1,173) $
$
(500,000) $
$
(1,400) $
$
$
(12,883) $
$
(1,000,000) $
1,307,575,052 Transfer of cap due to servicing transfer
$
(100,000) $
1,307,475,052 Transfer of cap due to servicing transfer
$
(1,100,000) $
1,306,375,052 Transfer of cap due to servicing transfer
$
(10,000) $
$
(8,378) $
$
(470,000) $
9/30/2009
$
1,780,000
$
$
2,840,000
$
$
2,800,000
$
11,630,000 Updated portfolio data from servicer
$
(5,730,000) $
5,900,000 Updated portfolio data from servicer
$
2,658,280
8,558,280 Updated portfolio data from servicer
$
(12) $
$
(14) $
$
(129) $
6/28/2012
10727
$
6/29/2011
10727
9/30/2009
3/30/2011
10727
(29) $
1/6/2011
10727
$
9/30/2010
10727
(38) $
7/14/2010
10727
$
2,671,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,671,401 reallocation
Updated due to quarterly assessment and
2,671,372 reallocation
Updated portfolio data from servicer & HPDP
1,218,820,000 initial cap
Updated portfolio data from servicer & HAFA
1,469,270,000 initial cap
3/26/2010
10727
(1,100,000) $
12/30/2009
10727
$
7/16/2012
10727
(4) $
6/28/2012
10727
$
5/16/2012
10727
(3) $
11/16/2011
10727
$
10/14/2011
10727
3,771,446 Updated portfolio data from servicer
9/15/2011
10727
471,446
6/29/2011
N/A
$
4/13/2011
1,272,490,000
3,300,000 Updated portfolio data from servicer
3/30/2011
$
(240,000) $
2/16/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
3,540,000 Updated portfolio data from servicer
11/16/2010
TX
(20,000) $
10/15/2010
Coppell
$
9/30/2010
10257
$
7/14/2010
10257
1,260,000
3/26/2010
10257
$
12/30/2009
10257
$
6/28/2012
10257
890,000
6/29/2011
10257
$
4/13/2011
10257
9/30/2009
3/30/2011
N/A
(145,056) $
1/6/2011
1,410,000
$
9/30/2010
$
45,056 $
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
10257
7/22/2009
Reason for Adjustment
12/30/2009
IL
10257
7/22/2009
Adjusted Cap
5/20/2011
Chicago
American Home Mortgage Servicing, Inc (Homeward
Residential)
Cap Adjustment Amount
9/30/2010
10612
7/17/2009
Note
Adjustment
Date
$
(94) $
9/30/2009
$
(490,000) $
12/30/2009
$
6,750,000
3/26/2010
$
(6,340,000) $
780,000 Updated portfolio data from servicer
7/14/2010
$
(180,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
125,278
3/30/2011
$
(1) $
6/29/2011
$
(4) $
725,278 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,277 reallocation
Updated due to quarterly assessment and
725,273 reallocation
3,100,000
$
$
$
$
$
145,056 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP
2,300,000 initial cap
Updated portfolio data from servicer & HAFA
3,560,000 initial cap
3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation
1,305,989,335 Updated portfolio data from servicer
1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation
1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation
1,306,365,052 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,306,356,674 reallocation
1,305,886,674 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
5,990,000 initial cap
Updated portfolio data from servicer & HAFA
8,830,000 initial cap
8,558,268 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,558,254 reallocation
Updated due to quarterly assessment and
8,558,125 reallocation
Updated due to quarterly assessment and
8,558,031 reallocation
Updated portfolio data from servicer & HPDP
370,000 initial cap
Updated portfolio data from servicer & HAFA
7,120,000 initial cap
82
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
First Bank
1000505
1000505
1000505
1000505
1000505
1000505
Wachovia Bank, N.A.
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
85,020,000
N/A
1000902
1000902
1000902
1000902
1000902
7/31/2009
J.P. Morgan Chase Bank, NA
Lewisville
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
TX
Purchase
Financial Instrument for Home Loan Modifications
$
2,699,720,000
N/A
8,123,114 Updated portfolio data from servicer
$
(2) $
$
(2) $
$
(15) $
$
(3) $
9/30/2009
$
(60,000) $
$
1,260,000
$
8,123,112 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,123,110 reallocation
Updated due to quarterly assessment and
8,123,095 reallocation
Updated due to quarterly assessment and
8,123,092 reallocation
Updated portfolio data from servicer & HPDP
1,030,000 initial cap
Updated portfolio data from servicer & HAFA
2,290,000 initial cap
$
2,070,000
$
4,360,000 Updated portfolio data from servicer
$
(3,960,000) $
400,000 Updated portfolio data from servicer
$
$
(1) $
$
(1) $
$
(8) $
$
(6) $
9/30/2009
$
(37,700,000) $
$
26,160,000
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
Updated portfolio data from servicer & HPDP
47,320,000 initial cap
Updated portfolio data from servicer & HAFA
73,480,000 initial cap
$
9,820,000
$
83,300,000 Updated portfolio data from servicer
$
(46,200,000) $
37,100,000 Updated portfolio data from servicer
$
(28,686,775) $
8,413,225 Updated portfolio data from servicer
12/3/2010
1000505
2,523,114
9/30/2010
1000505
$
7/14/2010
N/A
5,600,000 Updated portfolio data from servicer
3/26/2010
1,090,000
(2,470,000) $
12/30/2009
$
$
6/28/2012
Financial Instrument for Home Loan Modifications
8,070,000 Updated portfolio data from servicer
6/29/2011
Purchase
$
3/30/2011
IN
2,460,000
1/6/2011
West Lafayette
$
9/30/2010
10455
$
7/14/2010
10455
680,000
3/26/2010
10455
$
12/30/2009
10455
(1,530,000) $
6/28/2012
10455
$
6/29/2011
N/A
9/30/2009
3/30/2011
6,460,000
Updated due to quarterly assessment and
725,272 reallocation
Updated portfolio data from servicer & HPDP
4,930,000 initial cap
Updated portfolio data from servicer & HAFA
5,610,000 initial cap
1/6/2011
$
(1) $
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
10455
7/29/2009
Reason for Adjustment
3/26/2010
MO
10455
Purdue Employees Federal Credit Union
Adjusted Cap
12/30/2009
St. Louis
10455
7/29/2009
Cap Adjustment Amount
6/28/2012
1000455
7/29/2009
Note
Adjustment
Date
$
(8,413,225) $
9/30/2009
$
(14,850,000) $
12/30/2009
$
1,178,180,000
$
3/26/2010
$
1,006,580,000
$
7/14/2010
$
(1,934,230,000) $
9/30/2010
$
72,400,000
$
2,935,400,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
3,007,800,000 initial RD-HAMP
9/30/2010
$
215,625,536
$
3,223,425,536 Updated portfolio data from servicer
1/6/2011
$
(3,636) $
3,223,421,900 Updated portfolio data from servicer
3/16/2011
$
(100,000) $
3/30/2011
$
(3,999) $
4/13/2011
$
(200,000) $
5/13/2011
$
6/29/2011
$
(34,606) $
3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation
7/14/2011
$
600,000
$
3,346,383,295 Transfer of cap due to servicing transfer
8/16/2011
$
(400,000) $
3,345,983,295 Transfer of cap due to servicing transfer
9/15/2011
$
(100,000) $
3,345,883,295 Transfer of cap due to servicing transfer
10/14/2011
$
200,000
$
3,346,083,295 Transfer of cap due to servicing transfer
10/19/2011
$
519,211,309
$
3,865,294,604 Transfer of cap due to servicing transfer
11/16/2011
$
(2,800,000) $
3,862,494,604 Transfer of cap due to servicing transfer
1/13/2012
$
(100,000) $
3,862,394,604 Transfer of cap due to servicing transfer
2/16/2012
$
(100,000) $
3,862,294,604 Transfer of cap due to servicing transfer
5/16/2012
$
(126,080,000) $
3,736,214,604 Transfer of cap due to servicing transfer
180,222
122,700,000
$
$
$
580,222 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP
2,684,870,000 initial cap
Updated portfolio data from servicer & HAFA
3,863,050,000 initial cap
Updated portfolio data from servicer & 2MP initial
4,869,630,000 cap
3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation
3,223,117,901 Transfer of cap due to servicing transfer
83
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
10706
9/30/2009
1000840
1000840
1000840
1000840
1000840
8/5/2009
Oakland Municipal Credit Union
Oakland
CA
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000609
1000609
1000609
1000609
1000609
1000609
1000609
1000609
1000609
8/5/2009
HomEq Servicing
12
North Highlands
10717
10717
10717
10717
10717
10717
10717
10717
CA
Purchase
Financial Instrument for Home Loan Modifications
$
674,000,000
N/A
$
(4,000,000) $
$
(925) $
$
(122,900,000) $
$
(8,728) $
$
(600,000) $
10/19/2011
$
(519,211,309) $
$
$
(350,000) $
$
20,000 $
270,000 Updated portfolio data from servicer
$
(70,000) $
200,000 Updated portfolio data from servicer
$
90,111 $
$
(3) $
$
(2) $
$
290,000
$
$
210,000
$
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated portfolio data from servicer & HPDP
430,000 initial cap
Updated portfolio data from servicer & HAFA
640,000 initial cap
$
170,000
$
810,000 Updated portfolio data from servicer
$
(10,000) $
800,000 Updated portfolio data from servicer
$
(74,722) $
725,278 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(200,000) $
6/29/2011
1000840
(900,000) $
4/13/2011
N/A
$
3/30/2011
420,000
683,062,741 Updated portfolio data from servicer
1/6/2011
$
(802) $
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
683,063,543 Updated portfolio data from servicer
3/26/2010
IN
(4,400,000) $
12/30/2009
Warsaw
$
9/30/2009
14
(100,000) $
6/28/2012
1001020
$
6/29/2011
1001020
(8,006,457) $
9/30/2010
1001020
$
7/14/2010
1001020
13,100,000
3/26/2010
1001020
$
12/30/2009
1001020
(630,000) $
9/30/2009
1001020
$
7/14/2011
1001020
(392,140,000) $
6/29/2011
1001020
$
5/13/2011
1001020
(134,560,000) $
3/30/2011
1001020
$
3/16/2011
1001020
502,430,000
2/16/2011
1001020
$
1/6/2011
1001020
(10,000) $
12/15/2010
1001020
$
10/15/2010
N/A
(2,300,000) $
9/30/2010
707,380,000
$
9/30/2010
$
(16,192) $
7/16/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
(1,620,000) $
3/26/2010
TX
$
12/30/2009
Lewisville
Lake City Bank
Reason for Adjustment
7/16/2012
1001020
8/5/2009
Adjusted Cap
6/28/2012
10706
EMC Mortgage Corporation
Cap Adjustment Amount
6/14/2012
10706
7/31/2009
Adjustment
Date
$
(7) $
7/22/2011
$
(515,201) $
9/30/2009
$
(121,190,000) $
12/30/2009
$
(36,290,000) $
10,068 Termination of SPA
Updated portfolio data from servicer & HPDP
552,810,000 initial cap
Updated portfolio data from servicer & HAFA
516,520,000 initial cap
3/26/2010
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
7/14/2010
$
(189,040,000) $
526,800,000 Updated portfolio data from servicer
9/30/2010
$
10/15/2010
$
(170,800,000) $
12/15/2010
$
(22,200,000) $
372,426,728 Updated portfolio data from servicer
1/6/2011
$
(549) $
372,426,179 Updated portfolio data from servicer
2/16/2011
$
(900,000) $
180,000
38,626,728
$
$
$
$
3,734,594,604 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,734,578,412 reallocation
3,732,278,412 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
707,370,000 initial cap
Updated portfolio data from servicer & HAFA
1,209,800,000 initial cap
Updated portfolio data from servicer & 2MP initial
1,075,240,000 cap
683,100,000 Updated portfolio data from servicer
682,470,000 Transfer of cap to Saxon Mortgage Services, Inc.
695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap
687,563,543 Updated portfolio data from servicer
687,463,543 Transfer of cap due to servicing transfer
682,162,741 Transfer of cap due to servicing transfer
678,162,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
678,161,816 reallocation
555,261,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
555,253,088 reallocation
554,653,088 Transfer of cap due to servicing transfer
35,441,779 Termination of SPA
Updated portfolio data from servicer & HPDP
600,000 initial cap
Updated portfolio data from servicer & HAFA
250,000 initial cap
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation
565,426,728 Updated portfolio data from servicer
394,626,728 Transfer of cap due to servicing transfer
371,526,179 Transfer of cap due to servicing transfer
84
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10438
10438
10438
10438
10438
10438
10438
Calasbasa
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000
N/A
1,166,800,000 Transfer of cap to due to servicing transfer
$
(1,000,000) $
1,165,800,000 Transfer of cap to due to servicing transfer
$
(115,017,236) $
$
(800,000) $
1,049,982,764 Transfer of cap due to servicing transfer
$
800,000
$
1,050,782,764 Updated portfolio data from servicer
$
(1,286) $
1,050,781,478 Updated portfolio data from servicer
$
$
(1,470) $
$
(3,300,000) $
1,056,280,008 Transfer of cap due to servicing transfer
$
(300,000) $
1,055,980,008 Transfer of cap due to servicing transfer
$
(700,000) $
$
(13,097) $
1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation
$
(200,000) $
1,055,066,911 Transfer of cap due to servicing transfer
$
(2,900,000) $
1,052,166,911 Transfer of cap due to servicing transfer
$
(300,000) $
1,051,866,911 Transfer of cap due to servicing transfer
$
(500,000) $
1,051,366,911 Transfer of cap due to servicing transfer
$
(2,600,000) $
1,048,766,911 Transfer of cap due to servicing transfer
$
(194,800,000) $
853,966,911 Transfer of cap due to servicing transfer
$
(400,000) $
6/28/2012
10438
(700,000) $
2/16/2012
10438
$
1/13/2012
10438
1,167,500,000 Updated portfolio data from servicer
12/15/2011
10438
(474,730,000) $
11/16/2011
10438
$
10/14/2011
10438
1,642,230,000 Updated portfolio data from servicer
9/15/2011
10438
$
7/14/2011
10438
278,910,000
6/29/2011
10438
$
6/16/2011
10438
$
5/13/2011
10438
275,370,000
4/13/2011
10438
$
3/30/2011
10438
$
3/16/2011
10438
313,050,000
1/6/2011
10438
$
12/15/2010
10438
9/30/2009
10/15/2010
N/A
(4,634) $
9/30/2010
774,900,000
$
9/15/2010
$
(6,168) $
8/13/2010
Financial Instrument for Home Loan Modifications
$
Updated due to quarterly assessment and
371,525,526 reallocation
Updated due to quarterly assessment and
371,519,358 reallocation
Updated due to quarterly assessment and
371,514,724 reallocation
Updated portfolio data from servicer & HPDP
1,087,950,000 initial cap
Updated portfolio data from servicer & HAFA
1,363,320,000 initial cap
7/14/2010
Purchase
(653) $
3/26/2010
TX
$
12/30/2009
Houston
PennyMac Loan Services, LLC
Reason for Adjustment
6/28/2012
10717
8/12/2009
Adjusted Cap
6/29/2011
10717
Litton Loan Servicing LP
Cap Adjustment Amount
3/30/2011
10717
8/12/2009
Note
Adjustment
Date
$
(9,728) $
9/30/2009
$
(1,200,000) $
12/30/2009
$
30,800,000
$
3/26/2010
$
23,200,000
$
6/16/2010
$
2,710,000
$
7/14/2010
$
7/16/2010
$
6,680,000
$
43,700,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
50,380,000 servicing transfer
8/13/2010
$
2,600,000
$
52,980,000 Transfer of cap to due to servicing transfer
9/15/2010
$
(100,000) $
52,880,000 Transfer of cap to due to servicing transfer
9/30/2010
$
200,000
53,080,000 Initial FHA-HAMP cap and 2MP initial cap
9/30/2010
$
(1,423,197) $
51,656,803 Updated portfolio data from servicer
11/16/2010
$
1,400,000
53,056,803 Transfer of cap due to servicing transfer
12/15/2010
$
(100,000) $
52,956,803 Updated portfolio data from servicer
1/6/2011
$
(72) $
52,956,731 Updated portfolio data from servicer
1/13/2011
$
2/16/2011
$
3/16/2011
$
3/30/2011
$
(94) $
4/13/2011
$
(100,000) $
5/13/2011
$
8,800,000
$
(18,020,000) $
4,100,000
$
$
1,050,782,764 Updated portfolio data from servicer
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
853,566,911 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
853,557,183 reallocation
Updated portfolio data from servicer & HPDP
5,010,000 initial cap
Updated portfolio data from servicer & HAFA
35,810,000 initial cap
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer
$
57,056,731 Transfer of cap due to servicing transfer
(100,000) $
56,956,731 Transfer of cap due to servicing transfer
4,000,000
5,800,000
$
$
60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation
60,856,637 Transfer of cap due to servicing transfer
66,656,637 Transfer of cap due to servicing transfer
85
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1000744
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
PA
Purchase
Financial Instrument for Home Loan Modifications
$
29,730,000
N/A
72,555,825 Transfer of cap due to servicing transfer
$
300,000
$
72,855,825 Transfer of cap due to servicing transfer
$
900,000
$
73,755,825 Transfer of cap due to servicing transfer
$
800,000
$
74,555,825 Transfer of cap due to servicing transfer
$
200,000
$
74,755,825 Transfer of cap due to servicing transfer
$
1,900,000
$
76,655,825 Transfer of cap due to servicing transfer
$
200,000
$
76,855,825 Transfer of cap due to servicing transfer
$
1,340,000
$
$
78,195,825 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
78,195,485 reallocation
7/16/2012
Titusville
$
6/28/2012
1000744
2,800,000
6/14/2012
1000744
$
4/16/2012
1000744
69,755,825 Transfer of cap due to servicing transfer
3/15/2012
1000744
$
1/13/2012
1000744
2,500,000
12/15/2011
1000744
$
11/16/2011
1000744
$
10/14/2011
1000744
$
9/15/2011
1000744
600,000
$
Reason for Adjustment
7/14/2011
1000744
10454
Adjusted Cap
6/29/2011
1000744
Servis One, Inc.
Cap Adjustment Amount
6/16/2011
1000744
8/12/2009
Note
Adjustment
Date
$
9/30/2009
$
(25,510,000) $
12/30/2009
$
520,000
$
3/26/2010
$
4,330,000
$
4/19/2010
$
230,000
$
5/19/2010
$
850,000
$
7/14/2010
$
(850,000) $
9,300,000 Updated portfolio data from servicer
9/15/2010
$
100,000
$
9,400,000 Transfer of cap to due to servicing transfer
9/30/2010
$
100,000
$
9,500,000 Initial FHA-HAMP cap
9/30/2010
$
16,755,064
$
26,255,064 Updated portfolio data from servicer
10/15/2010
$
100,000
$
26,355,064 Transfer of cap due to servicing transfer
12/15/2010
$
100,000
$
26,455,064 Updated portfolio data from servicer
1/6/2011
$
(40) $
26,455,024 Updated portfolio data from servicer
1/13/2011
$
300,000
$
26,755,024 Transfer of cap due to servicing transfer
2/16/2011
$
100,000
$
26,855,024 Transfer of cap due to servicing transfer
3/16/2011
$
2,200,000
$
3/30/2011
$
29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation
4/13/2011
$
1,500,000
$
30,554,972 Transfer of cap due to servicing transfer
5/13/2011
$
1,000,000
$
31,554,972 Transfer of cap due to servicing transfer
6/16/2011
$
100,000
$
6/29/2011
$
31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation
8/16/2011
$
700,000
$
32,354,438 Transfer of cap due to servicing transfer
9/15/2011
$
(600,000) $
31,754,438 Transfer of cap due to servicing transfer
10/14/2011
$
4,000,000
$
35,754,438 Transfer of cap due to servicing transfer
11/16/2011
$
600,000
$
36,354,438 Transfer of cap due to servicing transfer
12/15/2011
$
200,000
$
36,554,438 Transfer of cap due to servicing transfer
1/13/2012
$
100,000
$
36,654,438 Transfer of cap due to servicing transfer
2/16/2012
$
1,300,000
$
37,954,438 Transfer of cap due to servicing transfer
3/15/2012
$
1,100,000
$
39,054,438 Transfer of cap due to servicing transfer
4/16/2012
$
800,000
$
39,854,438 Transfer of cap due to servicing transfer
5/16/2012
$
(1,080,000) $
38,774,438 Transfer of cap due to servicing transfer
6/14/2012
$
1,560,000
6/28/2012
$
(465) $
40,334,438 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,333,973 reallocation
7/16/2012
$
-
(812) $
(340) $
2,930,000
$
(52) $
(534) $
$
$
67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation
81,125,485 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
4,220,000 initial cap
Updated portfolio data from servicer & HAFA
4,740,000 initial cap
9,070,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
9,300,000 servicing transfer
10,150,000 Initial 2MP cap
40,333,973 Transfer of cap due to servicing transfer
86
Servicer Modifying Borrowers' Loans
Name of Institution
Date
8/28/2009
Adjustment Details
City
OneWest Bank
Pasadena
State
Transaction
Type
CA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
$
1
668,440,000
Pricing
Mechanism
Note
N/A
1001011
1001011
9/2/2009
Horicon Bank
Horicon
WI
Purchase
Financial Instrument for Home Loan Modifications
$
560,000
N/A
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
9/2/2009 as amended
Vantium Capital, Inc.dba Acqura Loan Services
on 8/27/2010
Plano
10354
10354
10354
10354
10354
10354
10354
10354
10354
TX
Purchase
Financial Instrument for Home Loan Modifications
$
6,000,000
N/A
10
350,000
$
3,400,000 Updated portfolio data from servicer
$
(1,900,000) $
1,500,000 Updated portfolio data from servicer
$
(1,209,889) $
290,111 Updated portfolio data from servicer
$
(290,111) $
$
$
$
2,110,000
$
2,500,000 Updated portfolio data from servicer
$
8,300,000
$
10,800,000 Updated portfolio data from servicer
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
$
(22) $
16,101,150 Updated portfolio data from servicer
$
(400,000) $
$
(25) $
$
-
$
(232) $
$
(174) $
$
130,000
$
$
1,040,000
$
$
(1,680,000) $
$
1,260,000
$
1,310,000 Updated portfolio data from servicer
$
(1,110,000) $
200,000 Updated portfolio data from servicer
$
$
(9,889) $
$
(3) $
6/28/2012
1001011
$
6/29/2011
1001011
$
9/30/2010
1001011
2,680,000
9/30/2010
1001011
$
370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,050,000 initial cap
7/14/2010
1001011
$
5/12/2010
1001011
70,000
3/26/2010
1001011
$
12/30/2009
1001011
(15,481) $
10/2/2009
N/A
$
6/28/2012
570,000
(24,616) $
6/29/2011
$
$
4/13/2011
Financial Instrument for Home Loan Modifications
(2,674) $
3/30/2011
Purchase
$
3/16/2011
NC
(2,282) $
1/6/2011
Charlotte
$
9/30/2010
1000576
(51,741,163) $
7/14/2010
1000576
$
3/26/2010
1000576
5,500,000
12/30/2009
1000576
$
10/2/2009
1000576
1,882,500,000 Updated portfolio data from servicer
10/2/2009
N/A
(408,850,000) $
3/23/2010
300,000
$
9/30/2010
$
2,291,350,000 Updated portfolio data from servicer
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
121,180,000
12/30/2009
CA
$
6/28/2012
Palo Alto
$
6/29/2011
10008
1,355,930,000
3/30/2011
10008
$
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap
1/6/2011
10008
$
9/30/2010
10008
145,800,000
9/30/2010
10008
$
7/14/2010
10008
RoundPoint Mortgage Servicing Corporation
Reason for Adjustment
3/26/2010
10008
8/28/2009
Adjusted Cap
12/30/2009
10008
Stanford Federal Credit Union
Cap Adjustment Amount
10/2/2009
10008
8/28/2009
Adjustment
Date
$
(2) $
10/2/2009
$
12/30/2009
$
3/26/2010
$
410,000
$
4,330,000 Updated portfolio data from servicer
7/14/2010
$
(730,000) $
3,600,000 Updated portfolio data from servicer
9/15/2010
$
4,700,000
$
8,300,000 Transfer of cap due to servicing transfer
9/30/2010
$
117,764
$
8,417,764 Updated portfolio data from servicer
11/16/2010
$
800,000
$
9,217,764 Transfer of cap due to servicing transfer
12/15/2010
$
2,700,000
$
11,917,764 Updated portfolio data from servicer
1/6/2011
$
(17) $
11,917,747 Updated portfolio data from servicer
1/13/2011
$
130,000
$
$
(310,000) $
100,000
1,310,000
$
$
$
(3,390,000) $
700,000
$
1,888,000,000 2MP initial cap
1,836,258,837 Updated portfolio data from servicer
1,836,256,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,836,253,881 reallocation
Updated due to quarterly assessment and
1,836,229,265 reallocation
Updated due to quarterly assessment and
1,836,213,784 reallocation
- Termination of SPA
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
390,000 initial cap
15,701,150 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,701,125 reallocation
15,701,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,700,893 reallocation
Updated due to quarterly assessment and
15,700,719 reallocation
690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap
50,000 Updated portfolio data from servicer
300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,920,000 initial cap
12,617,747 Transfer of cap due to servicing transfer
87
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
10354
U.S. Bank National Association
9/9/2009
CUC Mortgage Corporation
Financial Instrument for Home Loan Modifications
$
4,350,000
N/A
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
9/11/2009
ORNL Federal Credit Union
Oak Ridge
TN
Purchase
Financial Instrument for Home Loan Modifications
$
2,070,000
N/A
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
9/11/2009
Allstate Mortgage Loans & Investments, Inc.
Ocala
FL
Purchase
Financial Instrument for Home Loan Modifications
$
250,000
N/A
(1) $
$
(5) $
$
21,717 $
10/2/2009
$
24,920,000
$
$
49,410,000
$
139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
188,550,000 initial cap
$
41,830,000
$
230,380,000 Updated portfolio data from servicer
$
(85,780,000) $
144,600,000 Updated portfolio data from servicer
$
36,574,444
181,174,444 Updated portfolio data from servicer
$
(160) $
$
(172) $
$
(1,431) $
$
(746) $
10/2/2009
$
950,000
$
$
5,700,000
$
5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
11,000,000 initial cap
$
740,000
$
11,740,000 Updated portfolio data from servicer
$
(1,440,000) $
10,300,000 Updated portfolio data from servicer
$
(6,673,610) $
3,626,390 Updated portfolio data from servicer
$
(5) $
$
(6) $
$
(52) $
$
(38) $
10/2/2009
$
460,000
$
$
2,730,000
$
$
13,280,000
$
18,540,000 Updated portfolio data from servicer
$
(13,540,000) $
5,000,000 Updated portfolio data from servicer
$
$
(10) $
$
(12) $
$
(115) $
6/28/2012
Purchase
$
6/29/2011
NY
(1) $
3/30/2011
Albany
$
1/6/2011
10305
870,334 Updated portfolio data from servicer
9/30/2010
10305
270,334
7/14/2010
10305
$
3/26/2010
10305
600,000 Updated portfolio data from servicer
12/30/2009
10305
(300,000) $
6/28/2012
10305
$
6/29/2011
10305
900,000 Updated portfolio data from servicer
3/30/2011
10305
$
1/6/2011
N/A
120,000
9/30/2010
114,220,000
$
7/14/2010
$
(750,000) $
3/26/2010
Financial Instrument for Home Loan Modifications
$
12/30/2009
Purchase
280,000
6/28/2012
KY
$
6/29/2011
Owensboro
10/2/2009
3/30/2011
1000890
(10,000) $
1/6/2011
1000890
$
9/30/2010
1000890
(147) $
7/14/2010
1000890
$
15,217,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,217,392 reallocation
3/26/2010
1000890
$
12/30/2009
1000890
100,000
6/28/2012
1000890
$
6/29/2011
1000890
15,117,539 Transfer of cap due to servicing transfer
3/30/2011
N/A
$
1/6/2011
1,250,000
100,000
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
15,017,539 Transfer of cap due to servicing transfer
3/26/2010
Purchase
$
12/30/2009
FL
300,000
7/16/2012
Lake Mary
$
6/28/2012
10354
$
10/14/2011
10354
$
9/15/2011
10354
$
8/16/2011
10354
$
6/29/2011
10354
1,800,000
$
Reason for Adjustment
4/13/2011
10354
9/9/2009
Adjusted Cap
3/30/2011
10354
Central Florida Educators Federal Credit Union
Cap Adjustment Amount
2/16/2011
10354
9/9/2009
Note
Adjustment
Date
$
(86) $
10/2/2009
$
(19) $
300,000
$
(189) $
1,817,613
60,000
$
$
$
$
$
14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation
14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
15,207,392 Transfer of cap due to servicing transfer
1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,327 reallocation
Updated due to quarterly assessment and
892,044 reallocation
181,174,284 Updated portfolio data from servicer
Updated due to quarterly assessment and
181,174,112 reallocation
Updated due to quarterly assessment and
181,172,681 reallocation
Updated due to quarterly assessment and
181,171,935 reallocation
3,626,385 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,626,379 reallocation
Updated due to quarterly assessment and
3,626,327 reallocation
Updated due to quarterly assessment and
3,626,289 reallocation
2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
5,260,000 initial cap
6,817,613 Updated portfolio data from servicer
6,817,603 Updated portfolio data from servicer
Updated due to quarterly assessment and
6,817,591 reallocation
Updated due to quarterly assessment and
6,817,476 reallocation
Updated due to quarterly assessment and
6,817,390 reallocation
310,000 HPDP initial cap
88
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1000955
1000955
1000955
1000955
1000955
1000955
9/16/2009
Bay Federal Credit Union
Capitola
CA
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
1001037
1001037
1001037
1001037
1001037
1001037
1001037
1001037
9/23/2009
AMS Servicing, LLC
Buffalo
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000
N/A
1,070,000 Updated portfolio data from servicer
$
(670,000) $
400,000 Updated portfolio data from servicer
$
35,167 $
435,167 Updated portfolio data from servicer
$
(1) $
435,166 Updated portfolio data from servicer
$
(435,166) $
10/2/2009
$
6,010,000
$
(19,750,000) $
$
(4,780,000) $
8,990,000 Updated portfolio data from servicer
$
(2,390,000) $
6,600,000 Updated portfolio data from servicer
$
2,973,670
$
9,573,670 Updated portfolio data from servicer
$
(3) $
9,573,667 Updated portfolio data from servicer
$
(1,800,000) $
$
(6) $
$
(61) $
$
(100,000) $
$
(58) $
10/2/2009
$
90,000
$
$
1,460,000
$
500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
$
160,000
$
2,120,000 Updated portfolio data from servicer
$
(120,000) $
2,000,000 Updated portfolio data from servicer
$
(1,419,778) $
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(8) $
1/25/2012
1000955
$
6/29/2011
1000955
100,000
3/30/2011
1000955
$
1/6/2011
1000955
$
9/30/2010
N/A
620,000
7/14/2010
27,510,000
$
3/26/2010
$
$
12/30/2009
Financial Instrument for Home Loan Modifications
70,000
6/28/2012
Purchase
$
10/14/2011
NJ
10/2/2009
6/29/2011
Jersey City
(1) $
3/30/2011
1000747
$
2/16/2011
1000747
(1) $
1/6/2011
1000747
$
9/30/2010
1000747
45,056 $
7/14/2010
1000747
$
3/26/2010
1000747
100,000 Updated portfolio data from servicer
12/30/2009
N/A
(410,000) $
1/26/2011
280,000
$
1/6/2011
$
510,000 Updated portfolio data from servicer
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
280,000
3/26/2010
AR
$
12/30/2009
Little Rock
Updated portfolio data from servicer & HAFA
230,000 initial cap
6/28/2012
1001029
(80,000) $
6/29/2011
1001029
$
9/30/2010
1001029
Franklin Credit Management Corporation
Reason for Adjustment
7/14/2010
1001029
9/11/2009
Adjusted Cap
3/26/2010
1001029
Metropolitan National Bank
Cap Adjustment Amount
12/30/2009
1001029
9/11/2009
Note
Adjustment
Date
$
(580,212) $
10/2/2009
$
960,000
12/30/2009
$
(3,090,000) $
3/26/2010
$
230,000
$
2,490,000 Updated portfolio data from servicer
7/14/2010
$
5,310,000
$
7,800,000 Updated portfolio data from servicer
9/30/2010
$
323,114
$
8,123,114 Updated portfolio data from servicer
1/6/2011
$
(12) $
8,123,102 Updated portfolio data from servicer
3/16/2011
$
3/30/2011
$
4/13/2011
$
200,000
$
8,923,086 Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
6/29/2011
$
9,023,086 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
9,022,933 reallocation
9/15/2011
$
100,000
$
9,122,933 Transfer of cap due to servicing transfer
11/16/2011
$
100,000
$
9,222,933 Transfer of cap due to servicing transfer
600,000
$
$
$
(16) $
(153) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
970,000 initial cap
- Termination of SPA
33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
13,770,000 initial cap
7,773,667 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,773,661 reallocation
Updated due to quarterly assessment and
7,773,600 reallocation
7,673,600 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,673,542 reallocation
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,260,000 initial cap
8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 reallocation
89
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1001184
9/23/2009
Central Jersey Federal Credit Union
30,000
N/A
10149
10149
10149
10149
10149
9/23/2009
Yadkin Valley Bank
Elkin
NC
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
1001000
1001000
1001000
1001000
1001000
1001000
1001000
9/25/2009
SEFCU
Albany
NY
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
1000924
1000924
1000924
1000924
1000924
1000924
10/14/2009
Great Lakes Credit Union
North Chicago
1001122
1001122
1001122
1001122
1001122
IL
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
$
$
(10,000) $
290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
280,000 initial cap
$
130,000
$
410,000 Updated portfolio data from servicer
$
(110,000) $
300,000 Updated portfolio data from servicer
$
(9,889) $
$
(3) $
$
(2) $
10/2/2009
$
10,000
$
$
120,000
$
$
10,000 $
170,000 Updated portfolio data from servicer
$
(70,000) $
100,000 Updated portfolio data from servicer
$
45,056 $
145,056 Updated portfolio data from servicer
$
(145,056) $
10/2/2009
$
60,000
$
$
350,000
$
$
1,360,000
$
2,010,000 Updated portfolio data from servicer
$
(1,810,000) $
200,000 Updated portfolio data from servicer
$
$
(1) $
$
(4) $
$
(3) $
10/2/2009
$
$
20,000 $
$
(290,000) $
270,000 Updated portfolio data from servicer
$
(70,000) $
200,000 Updated portfolio data from servicer
$
(54,944) $
$
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
4/11/2012
$
10/2/2009
6/29/2011
Financial Instrument for Home Loan Modifications
(16) $
9/30/2010
Purchase
$
7/14/2010
NJ
(22) $
3/26/2010
Woodbridge
$
12/30/2009
10716
(2) $
6/28/2012
10716
$
6/29/2011
10716
(2) $
1/6/2011
10716
$
9/30/2010
10716
$
7/14/2010
10716
300,000 Updated portfolio data from servicer
3/26/2010
N/A
(140,000) $
12/30/2009
230,000
$
10/29/2010
$
440,000 Updated portfolio data from servicer
9/30/2010
Financial Instrument for Home Loan Modifications
(980,000) $
7/14/2010
Purchase
$
3/26/2010
OH
$
12/30/2009
Maumee
940,000
6/28/2012
1001045
$
6/29/2011
1001045
$
9/30/2010
1001045
90,000
7/14/2010
1001045
$
3/26/2010
1001045
10/2/2009
12/30/2009
1001045
$
10,972,933 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
10,972,797 reallocation
6/28/2012
1001045
$
6/29/2011
N/A
650,000
3/30/2011
390,000
$
1/6/2011
$
10,322,933 Transfer of cap due to servicing transfer
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
1,100,000
3/26/2010
CA
$
12/30/2009
Sacramento
Glass City Federal Credit Union
Reason for Adjustment
6/28/2012
1001045
9/23/2009
Adjusted Cap
6/14/2012
1001184
Schools Financial Credit Union
Cap Adjustment Amount
4/16/2012
1001184
9/23/2009
Note
Adjustment
Date
$
(145,055) $
12/30/2009
$
3/26/2010
$
(880,000) $
720,000 Updated portfolio data from servicer
7/14/2010
$
(320,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,222
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
(136) $
1,150,556
60,000
235,167
100,000
1,030,000
$
$
$
$
$
$
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap
1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,530 reallocation
Updated due to quarterly assessment and
1,450,514 reallocation
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
160,000 initial cap
- Termination of SPA
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap
435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation
Updated due to quarterly assessment and
435,159 reallocation
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial cap
- Termination of SPA
Updated portfolio data from servicer & HAFA
1,600,000 initial cap
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
90
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1001122
Mortgage Clearing Corporation
1000073
1000073
1000073
1000073
1000073
1000073
1000073
Miami Lakes
FL
Purchase
Financial Instrument for Home Loan Modifications
$
93,660,000
N/A
10048
10048
10048
$
430,000 Updated HPDP cap & HAFA initial cap
$
400,000
$
830,000 Updated portfolio data from servicer
$
(430,000) $
400,000 Updated portfolio data from servicer
$
180,222
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(5) $
$
(4) $
1/22/2010
$
4,370,000
$
$
23,880,000
$
121,910,000 Updated portfolio data from servicer
$
(16,610,000) $
105,300,000 Updated portfolio data from servicer
$
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
1000740
1,751,033
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,215 reallocation
Updated due to quarterly assessment and
580,211 reallocation
98,030,000 Updated HPDP cap & HAFA initial cap
$
107,051,033 Updated portfolio data from servicer
$
(77) $
107,050,956 Updated portfolio data from servicer
$
(9,900,000) $
$
(88) $
$
(773) $
$
(1,400,000) $
$
(277) $
1/22/2010
$
40,000
$
(760,000) $
$
7/14/2010
MA
1000740
95,750,095 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
95,749,818 reallocation
800,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000
N/A
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000
N/A
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
1000585
1000585
1000585
1000585
Los Alamos
NM
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
2,465,945 Updated portfolio data from servicer
$
(4) $
$
(4) $
$
(40) $
$
(29) $
4/21/2010
$
(1,070,000) $
- Termination of SPA
4/21/2010
$
(510,000) $
- Termination of SPA
1/22/2010
$
10,000
$
10,000 $
90,000 Updated portfolio data from servicer
$
10,000 $
100,000 Updated portfolio data from servicer
$
45,056 $
6/29/2011
Harleysville
565,945
9/30/2010
Harleysville National Bank & Trust Company
$
7/14/2010
10/28/2009
1,900,000 Updated portfolio data from servicer
3/26/2010
1000740
(770,000) $
6/28/2012
1000740
$
6/29/2011
1000740
2,670,000 Updated portfolio data from servicer
3/30/2011
1000740
$
1/6/2011
1000740
2,630,000
$
97,150,956 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
97,150,868 reallocation
Updated due to quarterly assessment and
97,150,095 reallocation
9/30/2010
1000740
1000676
20,000
5/12/2010
Fitchburg
1000676
$
3/26/2010
10048
1000676
1/22/2010
- Termination of SPA
6/28/2012
10048
1000676
(145,056) $
3/15/2012
10048
Los Alamos National Bank
$
6/29/2011
10048
11/6/2009
145,056 Updated portfolio data from servicer
3/30/2011
10048
IC Federal Credit Union
45,056 $
3/16/2011
10048
10/23/2009
$
1/6/2011
N/A
100,000 Updated portfolio data from servicer
9/30/2010
410,000
(260,000) $
7/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
360,000 Updated portfolio data from servicer
6/28/2012
Purchase
(1,600,000) $
6/29/2011
MI
$
3/30/2011
Grand Rapids
(2,900,000) $
1/6/2011
1001180
$
9/30/2010
N/A
12/30/2009
7/14/2010
4,860,000
(6) $
3/26/2010
$
$
3/9/2011
Financial Instrument for Home Loan Modifications
(8) $
9/30/2010
Purchase
1001180
Bank United
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
$
7/14/2010
OK
1001180
10/23/2009
Reason for Adjustment
3/26/2010
Tulsa
United Bank Mortgage Corporation
Adjusted Cap
6/28/2012
1001180
10/21/2009
Cap Adjustment Amount
6/29/2011
1001122
10/14/2009
Note
Adjustment
Date
$
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
1/22/2010
$
40,000
3/26/2010
$
50,000 $
7/14/2010
$
9/30/2010
1/6/2011
1,310,000
$
$
$
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,868 reallocation
80,000 Updated HPDP cap & HAFA initial cap
740,000 Updated HPDP cap & HAFA initial cap
790,000 Updated portfolio data from servicer
$
2,100,000 Updated portfolio data from servicer
$
75,834 $
2,175,834 Updated portfolio data from servicer
$
(3) $
2,175,831 Updated portfolio data from servicer
91
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1000676
1000443
1000443
1000443
1000443
1000443
1000443
1000443
QLending, Inc.
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
20,000
N/A
1001304
1001304
1001304
1001304
1001304
11/25/2009
Marix Servicing, LLC
Phoenix
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000
N/A
32,061,630 Transfer of cap due to servicing transfer
$
1,400,000
$
$
33,461,630 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,461,572 reallocation
$
100,000
$
33,561,572 Transfer of cap due to servicing transfer
$
100,000
$
33,661,572 Transfer of cap due to servicing transfer
$
800,000
$
$
34,461,572 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,461,013 reallocation
$
300,000
$
34,761,013 Transfer of cap due to servicing transfer
$
200,000
$
34,961,013 Transfer of cap due to servicing transfer
$
100,000
$
35,061,013 Transfer of cap due to servicing transfer
$
100,000
$
35,161,013 Transfer of cap due to servicing transfer
$
330,000
$
$
35,491,013 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
35,490,585 reallocation
1/22/2010
$
80,000
$
1,750,000 Updated HPDP cap & HAFA initial cap
$
330,000
$
2,080,000 Updated portfolio data from servicer
$
(1,080,000) $
1,000,000 Updated portfolio data from servicer
$
$
(1) $
$
(2) $
$
(16) $
$
(12) $
1/22/2010
$
- $
$
(10,000) $
10,000 Updated portfolio data from servicer
$
90,000 $
100,000 Updated portfolio data from servicer
$
45,056 $
$
(1) $
6/28/2012
N/A
$
6/29/2011
1,670,000
1,600,000
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
30,461,630 Updated portfolio data from servicer
3/26/2010
Purchase
(46) $
6/28/2012
MI
$
6/29/2011
Hillsdale
30,461,676 Updated portfolio data from servicer
3/30/2011
1001271
$
1/6/2011
1001271
9,661,676
9/30/2010
1001271
$
7/14/2010
1001271
20,800,000 Updated portfolio data from servicer
3/26/2010
1001271
(2,890,000) $
6/28/2012
1001271
$
6/14/2012
1001271
23,690,000 Updated portfolio data from servicer
1/13/2012
1001271
$
9/15/2011
1001271
3,840,000
8/16/2011
1001271
$
7/14/2011
1001271
19,850,000 Updated HPDP cap & HAFA initial cap
6/29/2011
1001271
$
6/16/2011
1001271
890,000
5/13/2011
1001271
$
4/13/2011
1001271
1/22/2010
3/30/2011
N/A
(26) $
2/16/2011
18,960,000
$
1/13/2011
$
(35) $
1/6/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
(4) $
7/14/2010
FL
1001271
11/18/2009
Updated due to quarterly assessment and
2,175,827 reallocation
Updated due to quarterly assessment and
2,175,792 reallocation
Updated due to quarterly assessment and
2,175,766 reallocation
$
3/26/2010
Tampa
Hillsdale County National Bank
Reason for Adjustment
6/28/2012
1001271
11/18/2009
Adjusted Cap
6/29/2011
1000676
Quantum Servicing Corporation
Cap Adjustment Amount
3/30/2011
1000676
11/18/2009
Note
Adjustment
Date
$
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
1/22/2010
$
950,000
3/26/2010
$
(17,880,000) $
6/16/2010
$
1,030,000
7/14/2010
$
(1,160,000) $
8/13/2010
$
800,000
$
4,100,000 Transfer of cap due to servicing transfer
9/30/2010
$
200,000
$
4,300,000 Initial FHA-HAMP cap and initial RD-HAMP
9/30/2010
$
1,357,168
$
5,657,168 Updated portfolio data from servicer
1/6/2011
$
(1) $
5,657,167 Updated portfolio data from servicer
3/16/2011
$
3/30/2011
$
4/13/2011
$
(58) $
(559) $
(428) $
160,445
5,700,000
$
$
$
$
(6) $
7,300,000
$
1,160,445 Updated portfolio data from servicer
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,442 reallocation
Updated due to quarterly assessment and
1,160,426 reallocation
Updated due to quarterly assessment and
1,160,414 reallocation
20,000 Updated HPDP cap & HAFA initial cap
21,310,000 Updated HPDP cap & HAFA initial cap
3,430,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer
3,300,000 Updated portfolio data from servicer
11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation
18,657,161 Transfer of cap due to servicing transfer
92
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
10412
Clarks Summit
PA
Purchase
Financial Instrument for Home Loan Modifications
$
380,000
N/A
1000978
1000978
1000978
1000978
1000978
Boise
ID
Purchase
Financial Instrument for Home Loan Modifications
$
9,430,000
N/A
10223
10223
10223
10223
10223
10223
12/9/2009
Spirit of Alaska Federal Credit Union
Fairbanks
AK
Purchase
Financial Instrument for Home Loan Modifications
$
360,000
N/A
1000475
1000475
1000475
1000475
1000475
1000475
12/9/2009
American Eagle Federal Credit Union
East Hartford
1001228
1001228
1001228
1001228
1001228
CT
Purchase
Financial Instrument for Home Loan Modifications
$
1,590,000
N/A
50,000
$
1,330,000 Updated HPDP cap & HAFA initial cap
$
1,020,000
$
2,350,000 Updated portfolio data from servicer
$
(950,000) $
1,400,000 Updated portfolio data from servicer
$
50,556 $
1,450,556 Updated portfolio data from servicer
$
(2) $
$
(2) $
$
(100,000) $
$
(21) $
7/22/2011
$
(1,335,614) $
1/22/2010
$
10,000 $
$
520,000
$
910,000 Updated portfolio data from servicer
$
(810,000) $
100,000 Updated portfolio data from servicer
$
45,056 $
$
(1) $
$
(1) $
1/22/2010
$
440,000
$
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
$
(24,200,000) $
150,000 Updated portfolio data from servicer
$
150,000
300,000 Updated portfolio data from servicer
$
(9,889) $
$
(3) $
$
(2) $
1/22/2010
$
10,000
$
$
850,000
$
1,220,000 Updated portfolio data from servicer
$
(120,000) $
1,100,000 Updated portfolio data from servicer
$
100,000
$
1,200,000 Initial FHA-HAMP cap
$
105,500
$
1,305,500 Updated portfolio data from servicer
$
(2) $
1,305,498 Updated portfolio data from servicer
2/17/2011
12
$
1/6/2011
10519
(230,000) $
9/30/2010
10519
$
9/30/2010
10519
(38) $
7/14/2010
10519
$
3/26/2010
10519
(8,350,000) $
6/28/2012
10519
$
6/29/2011
10519
15,357,007 Transfer of cap due to servicing transfer
9/30/2010
10519
(1,300,000) $
1/22/2010
N/A
$
7/14/2010
1,280,000
16,657,007 Transfer of cap due to servicing transfer
5/26/2010
$
(2,100,000) $
3/26/2010
Financial Instrument for Home Loan Modifications
$
6/28/2012
Purchase
18,757,007 Transfer of cap due to servicing transfer
6/29/2011
PA
(1,500,000) $
9/30/2010
Media
$
7/14/2010
First Keystone Bank
20,257,007 Transfer of cap due to servicing transfer
3/26/2010
11/25/2009
$
4/21/2010
N/A
300,000
6/29/2011
230,000
$
6/16/2011
$
19,957,007 Transfer of cap due to servicing transfer
3/30/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
100,000
9/30/2010
FL
$
7/14/2010
Coral Gables
$
19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation
3/26/2010
Home Financing Center, Inc
$
6/28/2012
11/25/2009
900,000
6/14/2012
10412
$
4/16/2012
10412
18,957,161 Transfer of cap due to servicing transfer
2/16/2012
10412
$
1/13/2012
10412
300,000
8/16/2011
10412
$
7/14/2011
10412
Idaho Housing and Finance Association
Reason for Adjustment
6/29/2011
10412
12/4/2009
Adjusted Cap
6/16/2011
10412
Community Bank & Trust Company
Cap Adjustment Amount
5/13/2011
10412
12/4/2009
Adjustment
Date
$
(1,305,498) $
1/22/2010
$
70,000
3/26/2010
$
(290,000) $
1,370,000 Updated portfolio data from servicer
7/14/2010
$
(570,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,334 $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
(154) $
$
$
7,007,007 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,006,969 reallocation
- Termination of SPA
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
1,350,552 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,350,531 reallocation
14,917 Termination of SPA
390,000 Updated HPDP cap & HAFA initial cap
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
9,870,000 Updated HPDP cap & HAFA initial cap
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
370,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
1,660,000 Updated HPDP cap & HAFA initial cap
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
93
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1001228
Silver State Schools Credit Union
N/A
10141
10141
10141
10141
12/9/2009
The Golden 1 Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,160,000
N/A
1001226
1001226
1001226
1001226
1001226
1001226
1001226
12/9/2009
Sterling Savings Bank
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
1000638
1000638
1000638
1000638
1000638
1000638
12/11/2009
HomeStar Bank & Financial Services
Manteno
10125
10125
10125
10125
10125
10125
10125
IL
Purchase
Financial Instrument for Home Loan Modifications
$
310,000
N/A
3,080,000 Updated HPDP cap & HAFA initial cap
$
6,300,000
$
9,380,000 Updated portfolio data from servicer
$
(1,980,000) $
7,400,000 Updated portfolio data from servicer
$
(6,384,611) $
1,015,389 Updated portfolio data from servicer
$
(1) $
$
(2) $
$
(16) $
$
(12) $
1/22/2010
$
10,000
$
240,000 Updated HPDP cap & HAFA initial cap
$
440,000
$
680,000 Updated portfolio data from servicer
$
(80,000) $
600,000 Updated portfolio data from servicer
$
(19,778) $
580,222 Updated portfolio data from servicer
$
(580,222) $
1/22/2010
$
$
40,000 $
6,490,000 Updated portfolio data from servicer
$
(2,890,000) $
3,600,000 Updated portfolio data from servicer
$
$
(4) $
$
(4) $
$
(35) $
$
(9) $
1/22/2010
$
$
(740,000) $
1,610,000 Updated portfolio data from servicer
$
(710,000) $
900,000 Updated portfolio data from servicer
$
550,556
$
(1) $
$
(1) $
6/29/2011
230,000
$
3/30/2011
$
140,000
1/6/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
1/22/2010
7/14/2010
FL
(21) $
3/26/2010
Tampa
$
6/28/2012
1001269
(26) $
6/29/2011
1001269
$
3/30/2011
1001269
(3) $
1/6/2011
1001269
$
9/30/2010
1001269
(2) $
7/14/2010
1001269
$
3/26/2010
1001269
$
10/15/2010
N/A
1,900,000 Updated portfolio data from servicer
9/30/2010
2,940,000
(1,180,000) $
7/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
3,080,000 Updated portfolio data from servicer
6/28/2012
Purchase
$
6/29/2011
LA
1,110,000
3/30/2011
New Orleans
$
1/6/2011
1001075
1,970,000 Updated HPDP cap & HAFA initial cap
9/30/2010
1001075
$
7/14/2010
1001075
90,000
3/26/2010
1001075
$
6/28/2012
N/A
1/22/2010
6/29/2011
1,880,000
(870,319) $
3/30/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
(13) $
9/30/2010
Purchase
1001075
Bay Gulf Credit Union
Updated due to quarterly assessment and
870,319 reallocation
$
7/14/2010
NV
1001075
12/9/2009
Reason for Adjustment
3/26/2010
Las Vegas
Fidelity Homestead Savings Bank
Adjusted Cap
1/25/2012
1001075
12/9/2009
Cap Adjustment Amount
6/29/2011
1001228
12/9/2009
Note
Adjustment
Date
$
(11) $
1/22/2010
$
20,000
$
3/26/2010
$
820,000
$
1,150,000 Updated portfolio data from servicer
7/14/2010
$
(350,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,334 $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(13) $
6/28/2012
$
(10) $
275,834
290,000
606,612
100,000
$
$
$
$
$
- Termination of SPA
2,175,834 Updated portfolio data from servicer
2,175,832 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,829 reallocation
Updated due to quarterly assessment and
2,175,803 reallocation
Updated due to quarterly assessment and
2,175,782 reallocation
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,386 reallocation
Updated due to quarterly assessment and
1,015,370 reallocation
Updated due to quarterly assessment and
1,015,358 reallocation
- Termination of SPA
6,450,000 Updated HPDP cap & HAFA initial cap
4,206,612 Updated portfolio data from servicer
4,206,608 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,206,604 reallocation
Updated due to quarterly assessment and
4,206,569 reallocation
Updated due to quarterly assessment and
4,206,560 reallocation
2,350,000 Updated HPDP cap & HAFA initial cap
1,450,556 Updated portfolio data from servicer
1,450,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,554 reallocation
Updated due to quarterly assessment and
1,450,543 reallocation
330,000 Updated HPDP cap & HAFA initial cap
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
Updated due to quarterly assessment and
870,309 reallocation
94
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
12
12/11/2009
Glenview State Bank
1/22/2010
Purchase
Financial Instrument for Home Loan Modifications
$
630,000
N/A
1000753
1000753
1000753
1000753
1000753
1000753
1000753
12/11/2009
The Bryn Mawr Trust Co.
Bryn Mawr
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
N/A
1000631
12/16/2009
Citizens 1st National Bank
9
Spring Valley
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
1000438
1000438
N/A
OH
Purchase
Financial Instrument for Home Loan Modifications
$
3,460,000
N/A
WA
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
10524
10524
10524
Michigan City
1000825
(725,277) $
$
30,000
$
$
800,000
$
1,460,000 Updated portfolio data from servicer
$
(360,000) $
1,100,000 Updated portfolio data from servicer
$
60,445 $
1,160,445 Updated portfolio data from servicer
$
(2) $
$
(2) $
$
(18) $
$
(14) $
$
(150,000) $
6/16/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
1/22/2010
$
30,000
$
650,000 Updated HPDP cap & HAFA initial cap
$
(580,000) $
$
- Termination of SPA
660,000 Updated HPDP cap & HAFA initial cap
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
Updated due to quarterly assessment and
1,160,409 reallocation
- Termination of SPA
70,000 Updated portfolio data from servicer
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
$
1,500,000 Updated portfolio data from servicer
$
95,612 $
1,595,612 Updated portfolio data from servicer
$
(2) $
$
(3) $
$
(24) $
$
(16) $
1/22/2010
$
10,000
$
30,000 $
210,000 Updated portfolio data from servicer
$
(10,000) $
200,000 Updated portfolio data from servicer
$
90,111 $
290,111 Updated portfolio data from servicer
$
(290,111) $
1/22/2010
$
160,000
$
(3,620,000) $
1/22/2010
$
20,000
$
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
$
(390,000) $
1,500,000 Updated portfolio data from servicer
9/8/2010
Lakewood
Seattle
1000825
$
7/14/2010
170,000
1000828
1000825
725,277 Updated portfolio data from servicer
3/26/2010
$
1001397
1000825
(1) $
4/21/2010
Financial Instrument for Home Loan Modifications
1001397
1000825
$
2/17/2011
Purchase
1001397
Horizon Bank, NA
725,278 Updated portfolio data from servicer
9/30/2010
KS
1001397
12/16/2009
25,278 $
7/14/2010
Garden City
Sound Community Bank
$
630,000 Updated HPDP cap & HAFA initial cap
3/26/2010
1000438
12/16/2009
700,000 Updated portfolio data from servicer
- Termination of SPA
6/28/2012
1000438
First Federal Savings and Loan Association of Lakewood
(330,000) $
1,640,000 Updated portfolio data from servicer
6/29/2011
1000438
12/16/2009
$
390,000 Updated HPDP cap & HAFA initial cap
3/30/2011
1000438
Golden Plains Credit Union
1,030,000 Updated portfolio data from servicer
1,430,000
13,323 Termination of SPA
1/6/2011
1000438
12/16/2009
$
9/30/2010
WI
400,000
7/14/2010
Hartford
$
3/26/2010
10139
$
4/21/2010
10139
30,000
6/28/2012
10139
$
6/29/2011
10139
(1,640,000) $
1/22/2010
N/A
$
3/30/2011
600,000
$
1/6/2011
$
1,250,000
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
$
3/26/2010
WA
20,000
1/22/2010
N/A
$
2/17/2011
370,000
(856,986) $
1/6/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
7/6/2012
7/14/2010
Seattle
Hartford Savings Bank
Reason for Adjustment
3/26/2010
Purchase
10139
12/11/2009
Adjusted Cap
5/26/2010
IL
1000558
Verity Credit Union
Cap Adjustment Amount
3/26/2010
Glenview
1000558
12/11/2009
Adjustment
Date
$
(1,500,000) $
1/22/2010
$
30,000
$
3/26/2010
$
1,740,000
$
2,470,000 Updated portfolio data from servicer
7/14/2010
$
(1,870,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
$
(2) $
3/30/2011
$
(2) $
850,556
$
$
$
1,595,610 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,595,607 reallocation
Updated due to quarterly assessment and
1,595,583 reallocation
Updated due to quarterly assessment and
1,595,567 reallocation
180,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
3,620,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
460,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap
1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
95
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
1000825
Park View Federal Savings Bank
1/22/2010
1001192
12/23/2009
Eaton National Bank & Trust Company
Eaton
OH
Purchase
Financial Instrument for Home Loan Modifications
$
60,000
N/A
1001078
1001078
1001078
1001078
12/23/2009
Tempe Schools Credit Union
Tempe
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
110,000
N/A
1000703
1000703
1000703
1000703
1/13/2010
Fresno County Federal Credit Union
Fresno
CA
Purchase
Financial Instrument for Home Loan Modifications
$
260,000
N/A
10507
10507
10507
10507
10507
10507
12
1/13/2010
Roebling Bank
Roebling
1001235
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
$
(11) $
$
(13) $
$
(300,000) $
6/3/2011
$
(6,927,254) $
$
20,000
$
(320,000) $
$
760,000
$
800,000 Updated portfolio data from servicer
$
(74,722) $
725,278 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(11) $
$
(725,265) $
$
- $
$
90,000 $
150,000 Updated portfolio data from servicer
$
50,000 $
200,000 Updated portfolio data from servicer
$
(54,944) $
145,056 Updated portfolio data from servicer
$
(145,056) $
$
- $
$
(20,000) $
90,000 Updated portfolio data from servicer
$
10,000 $
100,000 Updated portfolio data from servicer
$
45,056 $
145,056 Updated portfolio data from servicer
$
(145,056) $
$
480,000
$
740,000 Updated portfolio data from servicer
$
(140,000) $
600,000 Updated portfolio data from servicer
$
(19,778) $
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(8) $
6/28/2012
1001192
7,252,780 Updated portfolio data from servicer
6/29/2011
1001192
5,852,780
3/30/2011
1001192
$
1/6/2011
1001192
1,400,000 Updated portfolio data from servicer
9/30/2010
1001192
(1,560,000) $
3/26/2010
1001192
$
1/22/2010
N/A
2,960,000 Updated portfolio data from servicer
7/14/2010
340,000
(1,470,000) $
12/8/2010
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
200,000
7/14/2010
Purchase
$
3/26/2010
MA
(10) $
5/20/2011
North Grafton
$
9/30/2010
12
(12) $
7/14/2010
1001411
$
3/26/2010
1001411
(1) $
1/22/2010
1001411
$
1/25/2012
1001411
(1) $
6/29/2011
1001411
$
3/30/2011
1001411
870,334 Updated portfolio data from servicer
1/6/2011
1001411
70,334 $
1/22/2010
N/A
$
9/30/2010
4,230,000
800,000 Updated portfolio data from servicer
7/14/2010
$
(140,000) $
3/26/2010
Financial Instrument for Home Loan Modifications
$
4/13/2011
Purchase
940,000 Updated portfolio data from servicer
3/30/2011
FL
$
1/6/2011
Sarasota
140,000
9/30/2010
10025
$
7/14/2010
10025
800,000 Updated HPDP cap & HAFA initial cap
3/26/2010
10025
$
1/22/2010
10025
40,000
6/28/2012
N/A
$
6/29/2011
760,000
(17) $
3/30/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
(23) $
9/30/2010
Purchase
10025
Grafton Suburban Credit Union
Updated due to quarterly assessment and
1,450,529 reallocation
Updated due to quarterly assessment and
1,450,512 reallocation
$
7/14/2010
OH
10025
12/23/2009
Reason for Adjustment
3/26/2010
Solon
Iberiabank
Adjusted Cap
6/28/2012
10025
12/23/2009
Cap Adjustment Amount
6/29/2011
1000825
12/16/2009
Adjustment
Date
$
(6) $
7/6/2012
$
(555,252) $
3/26/2010
$
610,000
7/14/2010
$
$
$
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,310 reallocation
4,430,000 Updated HPDP cap & HAFA initial cap
7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation
6,952,756 Transfer of cap due to servicing transfer
25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
- Termination of SPA
60,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
110,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
24,954 Termination of SPA
$
850,000 Updated portfolio data from servicer
50,000 $
900,000 Updated portfolio data from servicer
96
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1001235
IL
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
Highlands Ranch
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
870,334 Updated portfolio data from servicer
$
(1) $
870,333 Updated portfolio data from servicer
$
(870,333) $
3/26/2010
$
150,000
- Termination of SPA
CO
Purchase
Financial Instrument for Home Loan Modifications
$
64,150,000
N/A
$
290,000 Updated portfolio data from servicer
$
10,000 $
300,000 Updated portfolio data from servicer
$
(9,889) $
290,111 Updated portfolio data from servicer
1/26/2011
1000901
1000635
(29,666) $
9/30/2010
1000901
1000635
$
7/14/2010
Grant Park
Specialized Loan Servicing, LLC
Reason for Adjustment
3/23/2011
1000901
1/13/2010
Adjusted Cap
1/6/2011
1001235
First National Bank of Grant Park
Cap Adjustment Amount
9/30/2010
1001235
1/13/2010
Note
Adjustment
Date
$
(290,111) $
3/26/2010
$
(51,240,000) $
5/14/2010
$
3,000,000
$
6/16/2010
$
4,860,000
$
7/14/2010
$
3,630,000
$
7/16/2010
$
330,000
$
24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer
8/13/2010
$
700,000
$
25,430,000 Transfer of cap due to servicing transfer
9/15/2010
$
200,000
$
25,630,000 Transfer of cap due to servicing transfer
9/30/2010
$
11/16/2010
$
1/6/2011
$
1/13/2011
$
1,500,000
$
25,634,142 Transfer of cap due to servicing transfer
3/16/2011
$
7,100,000
$
3/30/2011
$
32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation
4/13/2011
$
(1,695,826) $
200,000
$
(32) $
(36) $
1,000,000
$
- Termination of SPA
12,910,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
15,910,000 servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
20,770,000 servicing transfer
23,934,174 Updated portfolio data from servicer
24,134,174 Transfer of cap due to servicing transfer
24,134,142 Updated portfolio data from servicer
33,734,106 Transfer of cap due to servicing transfer
97
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
1000635
$
3,050,000
N/A
10416
1/29/2010
iServe Residential Lending, LLC
San Diego
CA
Purchase
Financial Instrument for Home Loan Modifications
$
960,000
N/A
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1/29/2010
United Bank
Griffin
GA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000
N/A
1001435
Irving
1001384
1001384
1001384
100,000
$
34,933,774 Transfer of cap due to servicing transfer
$
77,600,000
$
112,533,774 Transfer of cap due to servicing transfer
$
40,000 $
112,573,774 Transfer of cap due to servicing transfer
$
(350,000) $
$
(1,058) $
$
4,430,000
$
116,652,716 Transfer of cap due to servicing transfer
3/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
$
(8,750,000) $
700,000 Updated portfolio data from servicer
$
$
(1) $
$
(1) $
$
(8) $
$
(4) $
3/26/2010
$
12,190,000
$
(15,240,000) $
3/26/2010
$
(730,000) $
230,000 Updated portfolio data from servicer
$
370,000
$
600,000 Updated portfolio data from servicer
$
200,000
$
800,000 Initial FHA-HAMP cap and initial 2MP cap
$
(364,833) $
435,167 Updated portfolio data from servicer
$
100,000
535,167 Transfer of cap due to servicing transfer
$
(1) $
$
(1) $
$
(7) $
$
(6) $
3/26/2010
$
170,334
TX
Purchase
Financial Instrument for Home Loan Modifications
$
28,040,000
N/A
160,000
$
$
$
112,223,774 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
112,222,716 reallocation
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,324 reallocation
Updated due to quarterly assessment and
870,320 reallocation
15,240,000 Updated portfolio data from servicer
- Termination of SPA
535,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
535,165 reallocation
Updated due to quarterly assessment and
535,158 reallocation
Updated due to quarterly assessment and
535,152 reallocation
$
700,000 Updated portfolio data from servicer
$
25,278 $
725,278 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(11) $
$
(8) $
7/14/2010
$
4,440,000
9/24/2010
1000893
1001384
$
6/28/2012
1000893
iServe Servicing, Inc.
34,833,774 Transfer of cap due to servicing transfer
6/29/2011
1000893
3/5/2010
$
3/30/2011
1000893
Urban Trust Bank
100,000
(332) $
1/6/2011
1000893
3/3/2010
$
9/30/2010
Financial Instrument for Home Loan Modifications
34,733,774 Transfer of cap due to servicing transfer
6/28/2012
Purchase
$
6/29/2011
MA
1,600,000
3/30/2011
Marlborough
$
1/6/2011
10517
33,133,774 Transfer of cap due to servicing transfer
11/16/2010
10517
(1,700,000) $
9/30/2010
10517
$
9/30/2010
10517
34,833,774 Transfer of cap due to servicing transfer
7/14/2010
10517
$
5/14/2010
10517
300,000
6/28/2012
N/A
$
6/29/2011
770,000
34,533,774 Transfer of cap due to servicing transfer
3/30/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
300,000
9/30/2010
Purchase
$
7/14/2010
NV
34,233,774 Transfer of cap due to servicing transfer
7/16/2012
Carson City
$
6/28/2012
1000635
100,000
6/14/2012
1000635
$
5/16/2012
1000635
$
34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation
4/16/2012
1000635
$
3/15/2012
1000635
300,000
2/16/2012
1000635
$
1/13/2012
1000635
33,834,106 Transfer of cap due to servicing transfer
12/15/2011
1000635
$
10/14/2011
1000635
100,000
9/15/2011
1000635
$
8/16/2011
1000635
Digital Federal Credit Union
Reason for Adjustment
6/29/2011
1000635
1/15/2010
Adjusted Cap
6/16/2011
1000635
Greater Nevada Mortgage Services
Cap Adjustment Amount
5/13/2011
1000635
1/13/2010
Note
Adjustment
Date
$
(5,500,000) $
5/26/2010
$
120,000
7/14/2010
$
(12,660,000) $
9/30/2010
$
100,000
9/30/2010
$
11/16/2010
$
$
$
$
(3,125,218) $
800,000
$
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
Updated due to quarterly assessment and
725,257 reallocation
5,500,000 Updated portfolio data from servicer
- Termination of SPA
28,160,000 Initial 2MP cap
15,500,000 Updated portfolio data from servicer
15,600,000 Initial FHA-HAMP cap
12,474,782 Updated portfolio data from servicer
13,274,782 Transfer of cap due to servicing transfer
98
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
1001384
1001384
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
1/6/2011
$
(20) $
3/30/2011
$
(24) $
Reason for Adjustment
13,274,762 Updated portfolio data from servicer
Updated due to quarterly assessment and
13,274,738 reallocation
99
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
Pricing
Mechanism
1
Note
1001384
Navy Federal Credit Union
7/14/2010
1000494
1000494
1000494
1000494
Wyomissing
PA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1000657
1000657
1000657
1000657
1000657
1000657
Marlton
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
10,000
N/A
4, 8
10425
10425
10425
Houston
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
$
(8) $
$
300,000
$
600,000 Updated portfolio data from servicer
$
(19,778) $
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(8) $
$
(580,212) $
$
(150,000) $
$
1,600,000
$
(4,352,173) $
$
(5) $
$
(6) $
$
(3,000,000) $
$
(9) $
$
(7) $
5/26/2010
$
30,000 $
$
$
59,889 $
6/28/2012
1000657
(11) $
6/29/2011
N/A
$
9/30/2010
6,550,000
(1) $
6/28/2012
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
(1) $
4/13/2011
Purchase
$
3/30/2011
OR
725,278 Updated portfolio data from servicer
1/6/2011
Beaverton
25,278 $
9/30/2010
1001521
$
7/14/2010
N/A
700,000 Updated portfolio data from servicer
9/15/2010
300,000
$
7/14/2011
$
1001521
1001460
$
6/29/2011
Financial Instrument for Home Loan Modifications
1001521
1001460
(145) $
3/30/2011
Purchase
1001521
Selene Finance LP
$
1/6/2011
IL
1001521
6/16/2010
(238) $
9/30/2010
Elmwood Park
Aurora Financial Group, Inc.
$
400,000
16,971,482 Updated portfolio data from servicer
Updated due to quarterly assessment and
16,971,456 reallocation
Updated due to quarterly assessment and
16,971,218 reallocation
Updated due to quarterly assessment and
16,971,073 reallocation
7/14/2010
1000468
5/21/2010
(26) $
16,971,505 Updated portfolio data from servicer
6/28/2012
1000468
Wealthbridge Mortgage Corp
$
15,900,000 Updated portfolio data from servicer
6/29/2011
1000468
4/14/2010
(23) $
$
Updated due to quarterly assessment and
13,274,517 reallocation
Updated due to quarterly assessment and
13,274,348 reallocation
3/30/2011
1000468
Midwest Bank and Trust Co.
$
1,071,505
Reason for Adjustment
1/6/2011
1000468
4/14/2010
$
7/14/2010
N/A
(44,880,000) $
9/30/2010
60,780,000
$
6/28/2012
$
(169) $
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
(221) $
1/6/2011
VA
$
9/30/2010
Vienna
Vist Financial Corp
Adjusted Cap
6/28/2012
1000494
3/10/2010
Cap Adjustment Amount
6/29/2011
1001384
3/10/2010
Adjustment
Date
$
(2) $
6/16/2010
$
3,680,000
$
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
350,000 reallocation
Updated due to quarterly assessment and
349,998 reallocation
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer
8/13/2010
$
3,300,000
$
6,980,000 Transfer of cap due to servicing transfer
9/30/2010
$
3,043,831
$
10,023,831 Updated portfolio data from servicer
10/15/2010
$
1,400,000
$
11,423,831 Transfer of cap due to servicing transfer
1/6/2011
$
3/16/2011
$
3/30/2011
$
4/13/2011
$
6/16/2011
$
(200,000) $
6/29/2011
$
(273) $
10/14/2011
$
100,000
$
16,323,517 Transfer of cap due to servicing transfer
11/16/2011
$
1,100,000
$
17,423,517 Transfer of cap due to servicing transfer
4/16/2012
$
200,000
$
17,623,517 Transfer of cap due to servicing transfer
5/16/2012
$
10,000 $
17,633,517 Transfer of cap due to servicing transfer
250,111
$
$
(17) $
2,100,000
$
(24) $
2,900,000
$
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
Updated due to quarterly assessment and
725,257 reallocation
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
6,400,000 Updated portfolio data from servicer
8,000,000 Transfer of cap due to servicing transfer
3,647,827 Updated portfolio data from servicer
3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation
647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
Updated due to quarterly assessment and
647,800 reallocation
40,000 Updated FHA-HAMP cap
11,423,814 Updated portfolio data from servicer
13,523,814 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,523,790 reallocation
16,423,790 Transfer of cap due to servicing transfer
16,223,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,223,517 reallocation
100
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
Pricing
Mechanism
1
Note
1001460
9/30/2010
8/25/2010
Pathfinder Bank
8/27/2010
First Financial Bank, N.A.
N/A
1000951
1000951
1000951
1000951
9/1/2010
RBC Bank (USA)
Raleigh
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001421
1001421
1001421
1001421
1001421
9/3/2010
Fay Servicing, LLC
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
9/15/2010
Vericrest Financial, Inc.
Oklahoma City
1001557
OK
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
$
(20) $
$
(192) $
$
(144) $
9/30/2010
$
45,056 $
145,056 Updated portfolio data from servicer
$
34,944 $
$
40,000 $
$
50,000 $
180,000 Updated portfolio data from servicer
Updated due to quarterly assessment and
220,000 reallocation
Updated due to quarterly assessment and
270,000 reallocation
$
(200,000) $
70,000 Transfer of cap due to servicing transfer
$
(10,000) $
60,000 Transfer of cap due to servicing transfer
$
$
(12) $
$
(15) $
$
$
$
700,000
$
9,367,999 Transfer of cap due to servicing transfer
$
100,000
$
9,467,999 Transfer of cap due to servicing transfer
$
200,000
$
9,667,999 Transfer of cap due to servicing transfer
$
1,700,000
$
11,367,999 Transfer of cap due to servicing transfer
$
1,600,000
$
12,967,999 Transfer of cap due to servicing transfer
$
40,000 $
13,007,999 Transfer of cap due to servicing transfer
$
(210,000) $
$
(105) $
7/16/2012
4,300,000
(17) $
6/28/2012
$
$
6/14/2012
Financial Instrument for Home Loan Modifications
$
5/16/2012
Purchase
(43) $
4/16/2012
ID
$
12/15/2011
Terre Haute
(58) $
11/16/2011
1001240
$
10/14/2011
1001240
(6) $
9/15/2011
1001240
$
6/29/2011
1001240
(5) $
9/30/2010
N/A
$
4/13/2011
1,300,000
2,181,334
3/30/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
(1,740,634) $
6/14/2012
Purchase
$
3/15/2012
NY
(28) $
6/29/2011
Oswego
$
3/30/2011
1001708
(3) $
1/6/2011
1001708
$
6/28/2012
1001708
(2) $
6/29/2011
1001708
$
9/30/2010
N/A
$
3/30/2011
700,000
(30) $
1/6/2011
$
$
6/28/2012
Financial Instrument for Home Loan Modifications
(40) $
6/29/2011
Purchase
$
3/30/2011
OH
(4) $
1/6/2011
Cincinanati
$
9/30/2010
1000602
(4) $
8/10/2011
1000602
$
6/29/2011
1000602
$
9/30/2010
N/A
40,000 $
3/30/2011
880,000
$
1/6/2011
$
(218) $
6/28/2012
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
(300,000) $
3/30/2011
NM
$
1/6/2011
Albuquerque
Bramble Savings Bank
Reason for Adjustment
7/16/2012
1000602
8/20/2010
Adjusted Cap
6/28/2012
1001460
Suburban Mortgage Company of New Mexico
Cap Adjustment Amount
6/14/2012
1001460
8/4/2010
Adjustment
Date
$
50,000 $
9/15/2010
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
1,585,945
1,040,667
7,014,337
5,168,169
400,000
$
$
$
$
$
$
(143) $
17,333,517 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,333,299 reallocation
17,373,299 Transfer of cap due to servicing transfer
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,867 reallocation
1,740,667 Updated portfolio data from servicer
1,740,665 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,740,662 reallocation
Updated due to quarterly assessment and
1,740,634 reallocation
- Termination of SPA
3,481,334 Updated portfolio data from servicer
3,481,329 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,481,323 reallocation
Updated due to quarterly assessment and
3,481,265 reallocation
Updated due to quarterly assessment and
3,481,222 reallocation
11,314,337 Updated portfolio data from servicer
11,314,320 Updated portfolio data from servicer
Updated due to quarterly assessment and
11,314,300 reallocation
Updated due to quarterly assessment and
11,314,108 reallocation
Updated due to quarterly assessment and
11,313,964 reallocation
8,268,169 Updated portfolio data from servicer
8,268,157 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,268,142 reallocation
8,668,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,667,999 reallocation
12,797,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,797,894 reallocation
12,847,894 Transfer of cap due to servicing transfer
101
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
1001557
1000879
American Finance House LARIBA
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1000704
9/24/2010
Centrue Bank
Ottawa
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,900,000
N/A
Amarillo National Bank
Financial Instrument for Home Loan Modifications
$
100,000
N/A
(1) $
$
(1) $
$
(8) $
$
(6) $
$
45,056 $
$
(145,056) $
$
856,056
$
580,222 Updated portfolio data from servicer
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
PR
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4, 5, 8
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001930
Freeburg
IL
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
$
2,756,056 Updated portfolio data from servicer
$
(4) $
2,756,052 Updated portfolio data from servicer
$
(2,756,052) $
$
45,056 $
$
(145,056) $
9/30/2010
$
45,056 $
$
(1) $
$
(1) $
9/30/2010
$
45,056 $
$
(1) $
$
(1) $
9/30/2010
$
$
(3) $
$
(4) $
$
(36) $
$
(30) $
9/30/2010
$
45,056 $
$
(1) $
$
(1) $
9/30/2010
4, 8
1001930
$
765,945
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
2,465,945 Updated portfolio data from servicer
2,465,942 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,938 reallocation
Updated due to quarterly assessment and
2,465,902 reallocation
Updated due to quarterly assessment and
2,465,872 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Financial Instrument for Home Loan Modifications
$
2,000,000
N/A
6
8
8
8
8
New Brighton
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
(2) $
1,160,443 Updated portfolio data from servicer
$
(1,160,443) $
9/30/2010
$
$
(4) $
$
(5) $
$
(48) $
6/28/2012
Purchase
$
6/29/2011
FL
1,160,445 Updated portfolio data from servicer
3/30/2011
Rockledge
$
1/6/2011
1001848
360,445
$
- Termination of SPA
3/23/2011
1001848
CU Mortgage Services, Inc.
$
180,222
1/6/2011
Purchase
1000509
9/30/2010
$
6/28/2012
TX
1000509
Community Credit Union of Florida
$
31,950,303 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,950,037 reallocation
6/29/2011
N/A
1000509
9/30/2010
$
6/28/2012
San Juan
Citizens Community Bank
300,000
6/29/2011
100,000
1000509
9/24/2010
$
3/30/2011
$
1001726
Capital International Financial, Inc.
31,650,303 Transfer of cap due to servicing transfer
1/6/2011
Financial Instrument for Home Loan Modifications
1001726
9/30/2010
$
6/28/2012
Parsippany
Banco Popular de Puerto Rico
900,000
6/29/2011
Purchase
1000478
9/30/2010
$
6/28/2012
Amarillo
American Financial Resources Inc.
30,750,303 Transfer of cap due to servicing transfer
6/29/2011
SC
1000478
9/30/2010
$
3/23/2011
Columbia
1001220
9/30/2010
4,100,000
9/30/2010
10204
AgFirst Farm Credit Bank
$
(266) $
1,450,554 Updated portfolio data from servicer
3/9/2011
10204
9/30/2010
26,650,303 Transfer of cap due to servicing transfer
1/6/2011
1000879
$
9/30/2010
1000879
12,000,000
9/30/2010
1000879
$
9/30/2010
N/A
(227) $
2/2/2011
400,000
$
6/28/2012
$
(24) $
6/29/2011
Financial Instrument for Home Loan Modifications
$
14,650,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,650,530 reallocation
Updated due to quarterly assessment and
14,650,303 reallocation
3/30/2011
Purchase
$
1/6/2011
IL
10,200,000
6/28/2012
Freeport
$
4/16/2012
1001557
4,450,554 Transfer of cap due to servicing transfer
1/13/2012
1001557
$
12/15/2011
1001557
3,000,000
7/14/2011
1001557
$
6/29/2011
1001557
$
3/30/2011
1001557
(2) $
Reason for Adjustment
3/16/2011
1001557
9/24/2010
Adjusted Cap
2/16/2011
1001557
Midwest Community Bank
Cap Adjustment Amount
1/6/2011
1001557
9/15/2010
Adjustment
Date
$
(36) $
9/30/2010
$
45,056 $
901,112
$
- Termination of SPA
2,901,112 Updated portfolio data from servicer
2,901,108 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,901,103 reallocation
Updated due to quarterly assessment and
2,901,055 reallocation
Updated due to quarterly assessment and
2,901,019 reallocation
145,056 Updated portfolio data from servicer
102
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
1
Pricing
Mechanism
Note
10616
First Federal Bank of Florida
100,000
N/A
10364
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10253
10253
9/30/2010
First Safety Bank
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
$
(1) $
$
(1) $
$
OH
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4
1000773
1000773
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001744
1001744
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
580,222 Updated portfolio data from servicer
$
(1) $
580,221 Updated portfolio data from servicer
$
(580,221) $
9/30/2010
$
360,445
$
(2) $
$
(2) $
$
(18) $
$
(14) $
9/30/2010
$
$
(4) $
$
(4) $
$
(40) $
$
(30) $
9/30/2010
$
45,056 $
$
(1) $
6/28/2012
7, 8
$
6/29/2011
N/A
180,222
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
6/28/2012
800,000
1000773
1001637
45,056 $
6/29/2011
Cincinnati
GFA Federal Credit Union
$
3/30/2011
$
1000773
9/30/2010
9/30/2010
1/6/2011
Financial Instrument for Home Loan Modifications
10228
Gateway Mortgage Group, LLC
(1) $
6/28/2012
Purchase
10228
9/30/2010
$
6/29/2011
MI
10228
Franklin Savings
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
3/30/2011
Troy
10228
9/30/2010
$
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
1/6/2011
1000487
Flagstar Capital Markets Corporation
45,056 $
Reason for Adjustment
3/23/2011
1000487
9/30/2010
$
9/30/2010
4, 8
9/30/2010
1/6/2011
$
(1) $
6/28/2012
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
(1) $
6/28/2012
FL
$
6/29/2011
Lake City
First Mortgage Corporation
Adjusted Cap
6/28/2012
10364
9/30/2010
Cap Adjustment Amount
6/29/2011
10616
9/30/2010
Adjustment
Date
$
(1) $
9/30/2010
$
45,056 $
3/23/2011
$
(145,056) $
765,945
$
$
- Termination of SPA
1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
Updated due to quarterly assessment and
1,160,409 reallocation
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,867 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
103
Servicer Modifying Borrowers' Loans
Name of Institution
Date
9/30/2010
Adjustment Details
City
Guaranty Bank
Saint Paul
State
Transaction
Type
MN
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
$
1
100,000
Pricing
Mechanism
Note
N/A
4, 8
Liberty Bank and Trust Co
1001010
1001010
1001010
9/30/2010
M&T Bank
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
4, 8
10529
10529
10529
10529
9/30/2010
Magna Bank
Germantown
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000
N/A
5
1000645
1000645
1000645
1000645
9/30/2010
Mainstreet Credit Union
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000
N/A
$
(1) $
$
(11) $
$
(11) $
9/30/2010
$
$
(3) $
$
(3) $
$
(33) $
$
(25) $
$
630,778
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,387 reallocation
Updated due to quarterly assessment and
1,015,376 reallocation
Updated due to quarterly assessment and
1,015,365 reallocation
2,030,778 Updated portfolio data from servicer
2,030,775 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,030,772 reallocation
Updated due to quarterly assessment and
2,030,739 reallocation
Updated due to quarterly assessment and
2,030,714 reallocation
Purchase
Financial Instrument for Home Loan Modifications
$
43,500,000
N/A
4, 5
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001163
1001163
Miles City
MT
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1000818
1000818
Salt Lake City
UT
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
4, 8
$
725,278 Updated portfolio data from servicer
$
(1) $
725,277 Updated portfolio data from servicer
$
(725,277) $
9/30/2010
$
45,056 $
$
(1) $
$
(1) $
9/30/2010
$
$
(125) $
$
(139) $
$
(1,223) $
$
(797) $
$
294,540,000
$
387,953,522 Transfer of cap due to servicing transfer
$
(263,550,000) $
124,403,522 Transfer of cap due to servicing transfer
9/30/2010
$
45,056 $
$
(1) $
$
(1) $
9/30/2010
$
45,056 $
$
(1) $
6/28/2012
OK
225,278
$
1,015,389 Updated portfolio data from servicer
6/29/2011
Rocky River
1001721
(1) $
$
6/28/2012
4, 8
10457
1001721
$
315,389
6/29/2011
N/A
10457
University First Federal Credit Union
$
7/27/2012
100,000
10457
9/30/2010
9/30/2010
7/16/2012
$
10457
Stockman Bank of Montana
(17) $
6/28/2012
Financial Instrument for Home Loan Modifications
10457
9/30/2010
$
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
Updated due to quarterly assessment and
1,450,512 reallocation
6/29/2011
Oklahoma City
Schmidt Mortgage Company
(23) $
1,450,556 Updated portfolio data from servicer
3/30/2011
Purchase
10457
9/30/2010
$
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated due to quarterly assessment and
435,155 reallocation
1/6/2011
NC
1001907
Midland Mortgage Company
(2) $
$
435,167 Updated portfolio data from servicer
6/28/2012
Charlotte
1001907
9/30/2010
$
450,556
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
6/29/2011
1001636
Marsh Associates, Inc.
(2) $
135,167
Reason for Adjustment
3/9/2011
1001636
9/30/2010
$
1/6/2011
1001010
$
9/30/2010
N/A
(4) $
6/28/2012
1,000,000
$
6/29/2011
$
(6) $
3/30/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
(1) $
6/28/2012
LA
$
6/29/2011
New Orleans
(1) $
3/30/2011
1000492
$
1/6/2011
1000492
$
6/28/2012
1000492
9/30/2010
9/30/2010
4, 8
(1) $
6/29/2011
N/A
$
3/30/2011
300,000
(1) $
1/6/2011
$
$
6/28/2012
Financial Instrument for Home Loan Modifications
45,056 $
6/29/2011
Purchase
$
3/30/2011
MO
9/30/2010
1/6/2011
Kansas City
1000492
9/30/2010
Adjusted Cap
6/28/2012
10350
James B. Nutter & Company
Cap Adjustment Amount
6/29/2011
10350
9/24/2010
Adjustment
Date
$
(1) $
9/30/2010
$
1/6/2011
2/17/2011
49,915,806
270,334
$
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
93,415,806 Updated portfolio data from servicer
93,415,681 Updated portfolio data from servicer
Updated due to quarterly assessment and
93,415,542 reallocation
Updated due to quarterly assessment and
93,414,319 reallocation
Updated due to quarterly assessment and
93,413,522 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
$
870,334 Updated portfolio data from servicer
$
(1) $
870,333 Updated portfolio data from servicer
$
(870,333) $
- Termination of SPA
104
Servicer Modifying Borrowers' Loans
Date
9/30/2010
Name of Institution
Adjustment Details
City
Weststar Mortgage, Inc.
Woodbridge
State
Transaction
Type
VA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
$
Pricing
Mechanism
1
100,000
Note
N/A
4, 8
4/13/2011
AmTrust Bank, A Division of New York Community Bank
9
10151
10151
10151
10151
10151
4/13/2011
SunTrust Mortgage, Inc.
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
4/13/2011
Urban Partnership Bank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001970
1001970
1001970
4/13/2011
Western Federal Credit Union
Hawthorne
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001231
5/13/2011
FCI Lender Services, Inc.
Anaheim Hills
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
7/14/2011
Gregory Funding, LLC
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002041
1002041
1002041
9/15/2011
Bangor Savings Bank
Bangor
ME
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
9/15/2011
PHH Mortgage Corporation
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
(5) $
$
(23) $
4/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
$
100,000
$
300,000 Transfer of cap due to servicing transfer
$
300,000
$
$
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
$
$
4/13/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
4/13/2011
$
1,000,000
$
$
233,268
$
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
$
100,000
$
$
4/13/2011
$
$
5/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
$
100,000
$
$
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
$
200,000
$
799,991 Transfer of cap due to servicing transfer
$
100,000
$
899,991 Transfer of cap due to servicing transfer
$
2,500,000
$
3,399,991 Transfer of cap due to servicing transfer
$
1,510,000
$
4,909,991 Transfer of cap due to servicing transfer
$
450,000
$
$
5,359,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,359,925 reallocation
$
250,000
$
5,609,925 Transfer of cap due to servicing transfer
7/14/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
$
900,000
$
1,100,000 Transfer of cap due to servicing transfer
$
100,000
$
6/28/2012
N/A
$
1/13/2012
-
(4) $
11/16/2011
$
$
7/16/2012
Financial Instrument for Home Loan Modifications
$
6/28/2012
Purchase
12/15/2010
6/14/2012
OH
$
5/16/2012
Cleveland
$
11/16/2011
1000991
(2,500,000) $
9/15/2011
1000991
$
7/14/2011
1000991
(85) $
6/29/2011
9
$
6/16/2011
N/A
(9) $
6/29/2011
-
$
5,599,993 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,599,984 reallocation
Updated due to quarterly assessment and
5,599,899 reallocation
6/28/2012
$
$
11/16/2011
Financial Instrument for Home Loan Modifications
100,000
6/29/2011
Purchase
$
6/28/2012
PR
5,499,993 Transfer of cap due to servicing transfer
8/16/2011
San Juan
$
6/29/2011
1001754
500,000
6/16/2011
1001754
$
5/13/2011
1001754
$
6/28/2012
1001754
$
6/29/2011
1001754
12/15/2010
1/6/2011
1001754
(1) $
6/28/2012
9
$
3/15/2012
N/A
(1) $
11/16/2011
-
$
6/29/2011
$
45,056 $
3/30/2011
Financial Instrument for Home Loan Modifications
$
3/16/2011
Purchase
9/30/2010
2/16/2011
CO
1001754
Scotiabank de Puerto Rico
Reason for Adjustment
1/6/2011
Denver
1001754
12/15/2010
Adjusted Cap
6/28/2012
1001893
Statebridge Company, LLC
Cap Adjustment Amount
6/29/2011
1001893
12/15/2010
Adjustment
Date
$
1,200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,199,991 reallocation
9/15/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
9/15/2011
$
1,300,000
$
1,300,000 Transfer of cap due to servicing transfer
5,000,000
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
$
5,000,000 Updated portfolio data from servicer
(7) $
4,999,993 Updated portfolio data from servicer
200,000
$
(40) $
4,300,000
$
(9) $
200,000
$
(7) $
(3) $
200,000
$
17,687 $
(9) $
(66) $
(9) $
3,099,899 Transfer of cap due to servicing transfer
3,299,899 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,299,859 reallocation
4,300,000 Updated portfolio data from servicer
4,299,996 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,299,991 reallocation
Updated due to quarterly assessment and
4,299,968 reallocation
799,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
799,984 reallocation
1,333,268 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,333,265 reallocation
200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation
105
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
Pricing
Mechanism
1
Note
10107
12/15/2011
Rushmore Loan Management Services LLC
Adjustment
Date
Cap Adjustment Amount
6/28/2012
Irvine
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
$
12/15/2011
$
Adjusted Cap
(15) $
200,000
$
Reason for Adjustment
Updated due to quarterly assessment and
1,299,985 reallocation
200,000 Transfer of cap due to servicing transfer
106
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
Pricing
Mechanism
1
Note
1002097
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
4/16/2012
Sun West Mortgage Company, Inc
Cerritos
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
3/15/2012
PrimeWest Mortgage Corporation
Lubbock
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
6/14/2012
Resurgent Capital Solutions, LP
Greenville
SC
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
10011111
Total Initial Cap
$
23,831,570,000
$
1/13/2012
$
100,000
$
100,000 Transfer of cap due to servicing transfer
3/15/2012
$
100,000
$
100,000 Transfer of cap due to servicing transfer
6/14/2012
$
940,000
$
6/28/2012
1/13/2012
$
6/28/2012
1002097
$
205,242
$
940,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,145,242 reallocation
$
6,048,321,369
$
29,879,891,369.30
Total Cap Adjustments
TOTAL CAP
600,000
$
Reason for Adjustment
(3) $
800,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
799,997 reallocation
1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors.
The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.
2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation.
3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.
4/ Initial cap amount includes FHA-HAMP.
5/ Initial cap amount includes RD-HAMP.
6/ Initial cap amount includes 2MP.
7/ Initial cap amount includes FHA-2LP.
8/ Initial cap does not include HAMP.
9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.
10/ The amendment reflects a change in the legal name of the institution.
11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement.
12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.
13/ Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, Inc. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior prior to such merger.
14/ In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer.
As used in this table:
"HAFA" means the Home Affordable Foreclosure Alternatives program.
"HPDP" means the Home Price Decline Protection program.
"2MP" means the Second Lien Modification Program.
"RD-HAMP" means the Rural Housing Service Home Affordable Modification Program.
"FHA-2LP" means the FHA Second Lien Program
107
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non-GSE Incentive Payments (through July 2012)
Name of Institution
Borrowers
Lenders/Investors
Allstate Mortgage Loans & Investments, Inc.
AMS Servicing, LLC
Aurora Financial Group, Inc
Aurora Loan Services LLC
BAC Home Loans Servicing, LP
Bank of America, N.A.
BankUnited
Bayview Loan Servicing LLC
Carrington Mortgage Services, LLC.
CCO Mortgage, a division of RBS Citizens NA
Central Florida Educators Federal Credit Union
CitiMortgage Inc
Citizens First National Bank
Community Credit Union of Florida
CUC Mortgage Corporation
DuPage Credit Union
EMC Mortgage Corporation
Fay Servicing, LLC
FCI Lender Services, Inc.
FIRST BANK
First Keystone Bank
First Mortgage Corporation
Franklin Credit Management Corporation
Franklin Savings
Fresno County Federal Credit Union
Glass City Federal Credit Union
GMAC Mortgage, LLC
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,329.43
21,856.09
15,976,418.00
124,567,727.00
4,267,061.97
4,165,776.20
4,138,241.58
4,854,299.86
1,117,132.38
50,433.89
36,336,894.66
8,666.67
31,379.52
2,514.14
7,569,459.20
204,471.76
14,957.23
519,513.74
2,775.62
1,000.00
255,774.48
750.00
3,833.34
3,000.00
30,341,013.30
Great Lakes Credit Union
$
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Gregory Funding, LLC
Guaranty Bank
Hillsdale County National Bank
$
$
$
$
$
33,605.91
977,094.55
36,742.83
916.67
15,943.49
Home Loan Services, Inc.
$
169,857.80 $
HomEqServicing
HomeStar Bank and Financial Services
Homeward Residential, Inc.
Horicon Bank
Iberiabank
IBM Southeast Employees' Federal Credit Union
IC Federal Credit Union
Idaho Housing and Finance Association
James B.Nutter and Company
JPMorgan Chase Bank, NA
$
$
$
$
$
$
$
$
$
$
$
$
7,500.93
1,470.18
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
41,233,657.06
293,932,717.20
17,852,011.77
11,263,605.18
8,346,110.91
14,820,658.55
2,933,002.33
83,699.59
121,508,109.80
28,206.45
82,752.86
17,535.96
11,592,937.05
449,842.26
27,729.65
1,197,651.63
3,423.27
$
$
$
$
$
506,672.03
2,457.11
13,204.31
2,245.94
83,357,659.42
5,916.67 $
1,916.66
33,359,335.62
3,348.46
9,000.00
10,000.00
14,002.56
750.00
150,514,740.06
Lake City Bank
$
Lake National Bank
Litton Loan Servicing, LP
Los Alamos National Bank
$
$
$
3,000.00
13,441,220.42
8,827.50
M&T Bank
$
$
$
$
$
$
$
352,195.77
3,709.71
1,614,718.38
1,000.00
33,588.21
345,841.21
Mortgage Center LLC
$
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
New York Community Bank
Oakland Municipal Credit Union
Ocwen Loan Servicing, LLC
$
$
$
$
$
$
1,242,631.39
10,669,415.51
135,165.49
9,847.95
44,275,203.53
OneWest Bank
$
ORNL Federal Credit Union
Park View Federal Savings Bank
Pathfinder Bank
PennyMac Loan Services, LLC
PNC Bank, National Association
Purdue Employees Federal Credit Union
Quantum Servicing Corporation
$
$
$
$
$
$
$
$
$
$
$
6,329.43
24,843.67
28,618,751.10
205,683,805.69
9,159,438.92
7,557,662.05
6,875,771.97
10,537,616.19
2,193,706.22
112,217.26
71,822,144.63
25,116.67
2,000.00
69,321.96
6,214.14
16,279,383.05
210,971.72
16,416.32
996,253.26
8,717.90
1,000.00
627,513.67
3,000.00
7,916.67
5,000.00
57,577,600.16
8,249.43 $
7,500.00
85,533.26
3,065,489.40
76,610.94
$
$
$
$
$
63,429.67
2,598,250.64
39,391.38
1,000.00
37,528.96
2,440,767.73 $
3,698,606.99
22,920.18
$
$
$
$
$
$
$
$
3,036,319.34
5,572.90
103,350,960.68
10,640.64
10,502.00
23,589.08
20,734.63
12,949.14
$
275,843,248.33
3,926.15 $
$
$
$
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,272,500.00
5,833.34
71,736,563.13
6,569.53
15,000.00
16,000.00
21,000.00
21,252.56
1,000.00
228,990,272.90
3,746.19 $
11,272.68
28,523.56
Marix Servicing LLC
Marsh Associates, Inc.
Midland Mortgage Co.
Midwest Community Bank
Mission Federal Credit Union
MorEquity, Inc.
Servicer
3,651.45
35,353,125.99
15,258.26
$
$
$
4,000.00
27,530,413.93
22,341.00
$
31,587.26
$
$
$
$
$
$
839,632.77
4,057.36
2,074,305.76
2,000.00
68,471.53
1,977,320.74
148,542 $
168,742
$
970,196.74
$
$
$
$
231,391.35
1,272.32
93,077.83
2,305,003.00
74,803 $
$
$
$
$
$
$
$
$
$
$
$
$
2,918,968.21
19,835,271.40
390,715.48
18,107.34
6,500.00
88,674,734.19
27,595,161.40 $
92,806,411.52 $
49,431,363.34
6,034.53
11,000.00
1,916.67
2,939,659.57
43,104.26
1,000.00
126,560.02
11,459.72
23,936.55
2,675.90
4,397,303.19
276,883.61
795.24
306,634.89
15,251.20
19,000.00
4,516.67
3,747,949.18
248,000.00
2,000.00
173,984.09
$
$
$
$
$
$
$
4,516,793.91
25,138,584.27
508,725.87
29,495.28
3,568.11
117,121,518.11
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
17,159.79
1,470.18
46,699.76
85,828,826.16
624,184,249.89
31,278,512.66
22,987,043.43
19,360,124.46
30,212,574.60
6,243,840.93
246,350.74
229,667,149.09
61,989.79
2,000.00
183,454.34
26,264.24
35,441,779.30
865,285.74
59,103.20
2,713,418.63
14,916.79
2,000.00
1,389,960.18
6,207.11
24,954.32
10,245.94
171,276,272.88
21,666.10
182,568.84
6,640,834.59
152,745.15
1,916.67
76,392.63
6,309,232.52
8,308,819.34
13,322.90
208,446,859.43
20,558.63
25,502.00
48,589.08
51,734.63
48,204.26
1,750.00
655,348,261.29
18,945.02
10,651.45
76,324,760.34
46,426.76
60,110.82
2,162,025.28
7,767.07
3,920,415.49
4,272.32
195,137.57
4,628,164.95
392,087
8,678,393.51
55,643,271.18
1,034,606.84
57,450.57
10,068.11
250,071,455.83
169,832,936.26
32,745.45
53,936.55
9,109.24
11,084,911.94
567,987.87
3,795.24
607,179.00
107
Name of Institution
Borrowers
Residential Credit Solutions, Inc.
$
Resurgent Capital Services, L.P.
$
RG Mortgage
RoundPoint Mortgage Servicing Corporation
Rushmore Loan Management Services LLC
Saxon Mortgage Services, Inc.
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
Specialized Loan Servicing LLC
Statebridge Company, LLC
Sterling Savings Bank
Technology Credit Union
The Bryn Mawr Trust Company
The Golden 1 Credit Union
U.S. Bank National Association
United Bank
United Bank Mortgage Corporation
Urban Partnership Bank
Vantium Capital, Inc. d/b/a Acqura Loan Services
Vericrest Financial, Inc.
Wachovia Mortgage, FSB
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Grand Total
675,281.74
Lenders/Investors
$
18,296.03 $
164,852.94
79,379.95
9,583.34
19,771,278.55
11,666.67
211,256.55
35,498,816.42
13,083.33
139,634.59
49,915.10
32,355.90
1,395,706.61
9,000.00
66,324.29
25,250.00
4,717.90
133,674.92
6,124,457.40
2,000.00
24,901.34
84,078.79
192,503.71
275,677.37
100,021,772.69
106,045.55
8,416.67
12,634.02
687,742,067.97
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,935,695.06
Servicer
Total Payments to Date
$
1,430,522.80
34,922.87 $
20,796.02
227,582.28
231,381.52
66,603.24
42,180,644.28
38,317.67
375,752.04
77,087,176.28
39,528.58
359,121.88
153,906.17
142,275.77
3,369,537.02
20,046.24
157,081.23
100,375.82
7,928.57
481,884.23
17,044,594.17
1,359.98
47,490.67
178,205.38
388,515.70
837,365.40
76,889.58
242,691,385.51
410,633.03
26,080.13
490,394.10
15,254.63
1,670,766,929.69
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
401,333.81
184,737.40
20,250.03
39,799,596.72
24,500.00
245,752.36
60,272,424.75
21,500.00
235,958.74
143,165.10
61,189.24
2,971,675.89
9,000.00
143,989.20
43,416.67
4,717.90
313,074.91
13,558,244.28
4,000.00
46,446.25
90,079.97
329,272.29
930,628.16
162,000.00
174,983,140.96
223,612.54
11,916.67
1,167,000.00
31,484.02
1,227,066,344.68
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,041,499.60
74,014.92
793,769.03
495,498.87
96,436.61
101,751,519.55
74,484.34
832,760.95
172,858,417.45
74,111.91
734,715.21
346,986.37
235,820.91
7,736,919.52
38,046.24
367,394.72
169,042.49
17,364.37
928,634.06
36,727,295.85
7,359.98
118,838.26
352,364.14
910,291.70
2,043,670.93
238,889.58
517,696,299.16
740,291.12
46,413.47
1,657,394.10
59,372.67
3,585,575,342.34
108
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
Name of Institution
6/23/2010 Nevada Affordable Housing Assistance Corporation
City
Reno
State
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Investment Description
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A
Initial Investment
Amount
$
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
34,056,581
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
57,169,659
N/A
Purchase
Financial Instrument for HHF Program
6/23/2010 CalHFA Mortgage Assistance Corporation
Sacramento
CA
$
699,600,000
-
$
1,975,334,096
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
476,257,070
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
799,477,026
N/A
Purchase
Financial Instrument for HHF Program
6/23/2010 Florida Housing Finance Corporation
Tallahassee
FL
$
418,000,000
-
$
1,057,839,136
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
238,864,755
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
400,974,381
N/A
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
Phoenix
AZ
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
Lansing
MI
$
125,100,000
-
$
$
154,500,000
$
267,766,006
142,666,006
-
N/A
N/A
$
498,605,738
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
128,461,559
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
215,644,179
N/A
Purchase
Financial Instrument for HHF Program
8/3/2010
North Carolina Housing Finance Agency
Raleigh
NC
$
159,000,000
-
$
482,781,786
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
120,874,221
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
202,907,565
N/A
Purchase
Financial Instrument for HHF Program
8/3/2010
Ohio Homeowner Assistance LLC
Columbus
OH
$
172,000,000
-
$
570,395,099
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
148,728,864
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
249,666,235
N/A
Purchase
Financial Instrument for HHF Program
8/3/2010
Oregon Affordable Housing Assistance Corporation
Salem
OR
$
88,000,000
-
$
220,042,786
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
49,294,215
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
82,748,571
N/A
Purchase
Financial Instrument for HHF Program
8/3/2010
Rhode Island Housing and Mortgage Finance Corporation
Providence
RI
$
43,000,000
-
$
79,351,573
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
13,570,770
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
22,780,803
N/A
Purchase
Financial Instrument for HHF Program
8/3/2010
SC Housing Corp
Columbia
SC
$
138,000,000
-
$
295,431,547
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
58,772,347
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
98,659,200
N/A
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
9/23/2010 Alabama Housing Finance Authority
3
Atlanta
GA
Indianapolis
IN
Chicago
IL
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
3
MS
9/29/2010
9/23/2010 Illinois Housing Development Authority
3
Jackson
9/29/2010
9/23/2010 Indiana Housing and Community Development Authority
3
KY
9/29/2010
9/23/2010 GHFA Affordable Housing, Inc.
3
Frankfort
9/29/2010
9/23/2010 Mississippi Home Corporation
3
AL
9/29/2010
9/23/2010 Kentucky Housing Corporation
3
Montgomery
9/29/2010
9/23/2010 District of Columbia Housing Finance Agency
3
3
DC
9/29/2010
9/23/2010 Tennessee Housing Development Agency
9/29/2010
Washington
Nashville
TN
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
$
$
$
81,128,260
-
$
101,888,323
$
$
339,255,819
$
TOTAL INVESTMENT AMOUNT
N/A
N/A
$
221,694,139
N/A
N/A
$
445,603,557
$
300,548,144
N/A
N/A
N/A
N/A
$
20,697,198
12,970,520
136,187,333
N/A
N/A
188,347,507
-
N/A
N/A
279,250,831
-
$
148,901,875
138,931,280
-
7,726,678
-
$
$
$
212,604,832
-
112,200,637
-
$
$
N/A
N/A
63,851,373
-
166,352,726
-
$
$
162,521,345
93,313,825
-
82,762,859
-
$
$
$
101,848,874
-
126,650,987
-
$
$
38,036,950
-
$
-
55,588,050
-
Financial Instrument for HHF Program
Purchase
Purchase
60,672,471
-
Financial Instrument for HHF Program
Purchase
NJ
Purchase
Purchase
Trenton
$
N/A
N/A
$
217,315,593
$
7,600,000,000
N/A
N/A
1/ The purchase will be incrementally funded up to the investment amount.
2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
109
FHA SHORT REFINANCE PROGRAM
Seller
Footnote
Date
1
9/3/2010
Name
City
State
Transaction
Type
NY
Purchase
New York
$
8,117,000,000
TOTAL
Citigroup, Inc.
Investment Description
Facility Purchase Agreement, dated as of September
3, 2010, between the U.S. Department of the Treasury
and Citibank, N.A
Investment Amount
$
Pricing Mechanism
8,117,000,000
N/A
1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an
up to $8 billion, 10-year letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the dollar value of mortgages refinanced under the FHA Short Refinance program from time to
time during the first 2.5 years. At that time, the amount of the L/C will be capped at the then-current level. Under the terms of the L/C Facility Agreement, Treasury will incur fees for the availability and usage of the L/C up to a
maximum amount of $117 million.
110
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending July 31, 2012
Type of Expense/Liability
Amount
None
Note: Treasury interprets this reporting requirement as
applicable to costs and liabilities related to insurance contracts
entered into under the provisions of section 102 of the EESA;
and the single insurance contract with Citigroup was
terminated on December 23, 2009.
111
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending July 31, 2012
Type of Expense
Compensation for financial agents
and legal firms
Amount
$713,334,129
112
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending July 31, 2012
Date
Vehicle
Description
None
113
HAMP Application Activity by Servicer 1
As of June 2012
Servicer Name
Aurora Loan Services LLC
Bank of America, NA6
BankUnited
Bayview Loan Servicing, LLC
Carrington Mortgage Services, LLC
CCO Mortgage, a division of RBS Citizens NA
CitiMortgage Inc
GMAC Mortgage, LLC
Green Tree Servicing LLC
7
Homeward Residential
iServe Residential Lending, LLC
iServe Servicing, Inc.
JPMorgan Chase Bank, NA8
Marix Servicing LLC
Midland Mortgage Co.
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
Ocwen Loan Servicing, LLC9
OneWest Bank
ORNL Federal Credit Union
PennyMac Loan Services, LLC
PNC Bank, National Association
Quantum Servicing Corporation
Residential Credit Solutions, Inc.
Saxon Mortgage Services, Inc.
Select Portfolio Servicing, Inc.
Specialized Loan Servicing LLC
U.S. Bank National Association
Wells Fargo Bank, NA10
Other Servicers11
TOTAL
Activity Reported Since May 2012 Report
# Requests
# Requests
# Requests
3
4
Processed
Denied 5
Approved
16,313
6,456
1,831
4,625
(7,418)
(2,242)
(1,857)
(385)
(2,985)
(3,537)
427
(3,964)
606
345
213
132
460
590
262
328
85,103
6,590
4,807
1,783
5,421
1,033
819
214
1,810
748
348
400
1,506
1,140
38
1,102
4
2
2
(865)
5,031
2,679
2,352
1,511
(1,940)
287
(2,227)
323
158
17
141
28,345
27,402
8,482
18,920
726
78
22
56
23,085
17,635
1,618
16,017
9,954
6,481
682
5,799
10
13
2
11
81
119
68
51
9
(204)
1
1
426
126
31
95
107
106
18
88
259
210
49
2,289
(1,267)
3,753
(205)
3,958
1,734
139
1,595
267
9,902
6,263
2,612
3,651
175,519
78,344
23,550
54,794
# Requests
Received 2
# Requests
Received 2
77,378
1,050,407
3,559
11,522
21,778
15,403
353,782
267,818
62,231
134,631
4
74
795,219
1,893
39,808
29,793
156,800
6,079
348,881
165,010
334
5,212
495
1,244
10,175
86,223
99,741
12,009
71,400
636,280
6,582
4,471,765
Program-to-Date
# Requests
# Requests
3
Processed
Approved 4
75,605
55,505
814,002
543,689
2,542
2,108
8,499
6,690
19,912
7,084
8,179
2,694
274,985
210,862
249,706
88,838
47,414
19,880
80,800
45,928
3
1
31
13
531,229
356,544
1,106
459
30,214
3,489
27,812
26,164
151,965
49,712
2,050
1,069
248,272
99,849
117,113
80,265
166
30
5,010
2,149
183
22
691
85
8,183
1,899
70,795
45,119
77,557
72,119
7,803
1,244
43,812
19,041
443,413
307,499
6,330
4,929
3,355,382
2,054,979
# Requests
Denied 5
20,100
270,313
434
1,809
12,828
5,485
64,123
160,868
27,534
34,872
2
18
174,685
647
26,725
1,648
102,253
981
148,423
36,848
136
2,861
161
606
6,284
25,676
5,438
6,559
24,771
135,914
1,401
1,300,403
1
This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey, and cannot be
separately reviewed or validated by Treasury. In June 2012, a number of servicers informed Treasury that they needed to update their reporting methodology to more accurately reflect application activities as presented in this report. As a result, prior
months' reporting may contain data compiled under the different methodologies by these servicers. The surveyed servicers have since amended their reporting processes. These updates are reflected in this report on a going forward basis.
The Monthly Servicer Survey is a cumulative survey, therefore, an estimate of monthly activity was calculated by taking the latest monthly survey and subtracting it from the previous month's survey. This calculation may at times result in large
fluctuations in monthly activity, including negative numbers, due to servicing transfers or servicer corrections to prior reporting methodology. Note that Requests Processed, Requests Approved, and Requests Denied in any given month may be related
to Requests Received in prior months.
2
"Requests Received" is the total number of HAMP mortgage modification requests received, calculated as the sum of the following from the Monthly Servicer Survey: Initial Packages Received and Being Evaluated; Packages Evaluated, Incomplete and
Notice Sent; Packages Evaluated, Complete and Borrower Ineligible; and Packages Evaluated, Complete and Trial Offers Sent.
3
"Requests Processed" is the total number of the HAMP mortgage modifications approved or denied and communicated to the Borrower by the Servicer, calculated as the sum of the following from the Monthly Servicer Survey: Packages Evaluated,
Complete and Borrower Ineligible; and Packages Evaluated, Complete and Trial Offers Sent. HAMP mortgage modification requests evaluated and denied due to insufficient documentation (Packages Evaluated, Incomplete and Notice Sent) are
excluded.
4
"Requests Approved" is the total number of HAMP mortgage modification requests approved, calculated as Packages Evaluated, Complete, and Trial Offers Sent. Note that all "Requests Approved" do not become Active Trials because some borrowers
do not accept the trial or fail to make the first trial payment.
5
"Requests Denied" is the total number of HAMP mortgage modification requests denied, calculated as Packages Evaluated, Complete and Borrower Ineligible. HAMP mortgage modification requests evaluated and denied due to insufficient
documentation (Packages Evaluated, Incomplete and Notice Sent) are excluded.
6
Bank of America, NA includes Home Loan Services, Wilshire Credit Corporation and BAC Home Loans Servicing, LP.
7
Formerly American Home Mortgage Servicing, Inc.
8
JPMorgan Chase Bank, NA includes EMC Mortgage Company.
9
Ocwen Loan Servicing, LLC includes Litton Loan Servicing LP.
10
Wells Fargo Bank, NA includes Wachovia Mortgage FSB.
11
Includes servicers that are no longer actively participating in the survey process or whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods when the
survey questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).
114
@FedFRASER